We are seeking an experienced Associate to join our Enterprise Technology Operations team!

Key responsibilities:

• Lead all operational aspects of the program, overseeing execution of strategy, policy implementation and control frameworks to maintain compliance with laws, regulations and internal policies
• Serve as the primary point of contact for leadership on all retention operational matters, escalating non-compliance issues as appropriate
• Supports clients in onboarding to the firms’ record management platforms, ensuring smooth transition and adherence to internal and external requirements
• Collaborate with Compliance, Legal and Operational Risk to define best practices, standards and procedures
• Develop and execute monitoring and testing programs to ensure adherence to record retention policies and regulatory / legal requirements
• Define and maintain control objectives, and controls;  Assess control efficacy, identify control gaps and partner with Core Records Management Engineering  to implement corrective actions
• Assist divisions throughout the record management certification process
• Stay informed on evolving regulations and laws related to records management 
• Partner with legal and compliance to interpret new regulations and implement necessary changes within the program
• Partner with legal and compliance to respond to regulatory inquiries / exams / audits on Firmwide Records Management processes and systems 
• Oversee the identification, creation and resolution of issues related to control gaps and control efficacy
• Establish robust processes for identifying and mitigating risks in the program
• Partner with all participants in the records management lifecycle from onboarding to certification, ensuring a cohesive approach to records management
• Provide regular updates and reports to leadership on the status of key deliverables, highlighting metrics, risks, trends and accomplishments 
• Develop and deliver training materials for internal stakeholders to promote awareness of process, procedures, tooling and compliance with firm policies, standards and procedures
• Act as a subject matter expert , providing guidance to internal teams and assisting divisional discussions with Compliance and Legal on record keeping obligations and data retention requirements
• Drive enhancements to the records management program, including process improvements
• Engage with Core Records management Engineering to identify and implement engineering uplift
• Benchmark the firms’ program against industry best practices to ensure leading standards are maintained

 

Qualifications:

• Bachelor’s degree in business, law, compliance or related field
• 12+ years of financial services experience in records management, regulatory compliance or related operational roles, with a focus on global programs
• Strong understanding of industry standard regulatory and risk management frameworks 
• Experience in risk identification, control framework and issue resolution in regulated environments
• Proven track record in managing large scale compliance programs and leading diverse teams
• Excellent communication, organizational and analytical skills, with the ability to influence and collaborate with senior stakeholders