The person filling this position will need to be able to partner and work across multiple cross-functional areas, including Information Technology, Compliance, Legal, Controls, centralized Records Management Program and the Data Management office.
As part of the role, there will be a working rota to cover east coast AMER time zone three times per week and in case of a regulatory exam.
Responsibilities:
Maintain and update RMO policy, procedures and retention schedule.
Support the automation of manual processing of regulatory and non-regulatory records.
Oversight of day-to-day operations within RMO.
Assist in the transformation of the firms’ records management processes to meet organizational and regulatory requirements.
Ability to operate in a complex environment, managing multiple complex initiatives covering global markets, technology, project management etc.
Familiarity with current regulations related to Records Management.
Perform records management governance assessments on new bank projects, ensuring RMO standards are being met and all records and regulations are being identified and adhered to.
In coordination with the arraigned third party, facilitate the annual Designated Third Party (D3P) testing effort, validating compliance to SEC Rule 17a-4.
Work closely with IT to provide system administration oversight for the bank's internal records repositories, ensuring records management criteria is being implemented and operability is running efficiently.
Assist with analyzing, troubleshooting and resolving system issues and bugs.
Develop and design records management training materials and courses for staff, promoting the policy and procedures.
Monitor the Records Management Governance Tool, ensuring functional Records Retention Schedules are up to date and incorporate any regulatory or bank changes.
Collaborate with a multitude of stakeholders to achieve compliance with recordkeeping/data annual certifications
Lead WORM (Write Once, Read Many) Governance initiatives and processes to validate compliance
Drive the RMO Change Management Governance Process by representing the RMO in various committees and managing events that could have an impact on recordkeeping requirements.
Lead RMO third party vendor processes by managing records and information stored with third party vendors throughout the respective relationships.
Assist with annual regulatory reporting.
Develop, monitor, manage and evidence RMO controls to validate effectiveness and operability.
Technical skills:
Advanced proficiency in Microsoft Office (Word, Excel, PowerPoint)
Knowledge of industry specific software is a bonus
Desire to take ownership of objectives and drive results
Facilitate and lead a collaborative environment, ensuring subject matter experts can work outside the box; engage people, helping them solve their own issues
Identify, communicate and drive change within an organization
Ability to multi-task on an ongoing basis
Ability to interact effectively with people at all levels of the firm
Soft skills:
Excellent verbal and written communication and interpersonal skills
Positive, energetic and self-motivated team player with strong organizational skills
Analytical, rigorous, with attention to details
Flexibility: ability to work in a changing environment and covering different time zones
Project management skills
Experience/ requirements:
7-12 professional experience (Global markets experience mandatory)