Records Management Officer

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)