Director - Head of Records Retention and Information

The Compliance Search   •  

New York, NY

Industry: Staffing & Recruiting


Less than 5 years

Posted 270 days ago

This job is no longer available.


Our client, aninternational bank, clearing, and settlement company, seeks a RecordsRetentionDirector.

Essential Functions

Major duties and responsibilities of the job


· In consultation with senior managers, ensure that there are lifecycle standards for the access and protection of the firm’s information assets. These standards will enable all employees to create, manage, access, distribute, store, retrieve, retain, dispose and/or destroy the information assets in a consistent manner that satisfies legal, regulatory and business requirements.

· Help bring about and sustain a corporate RIM transformation process that will meet organizational and regulatory requirements.

· Oversee all records management standards and rules to ensure these are appropriate to support delivery of the strategic plan and to meet corporate business objectives.

· Evaluate and recommend technology solutions for short term and long term records initiatives.


· Implement and maintain the firm’s RIM Program ensuring compliance with the current firm RIM Policy and Procedures.

· Maintain and revise the firm’s’ RIM Policy and Procedures which support the RIM Program.

· Track, monitor and report any Policy exceptions on behalf of the CCO. Maintain all dispensation requests and subsequent waivers on behalf of the Compliance Department.

· Ensure that all RIM procedures are fully followed. This includes records creation, maintenance, use, and disposition.

· Maintain the governance controls associated with the SharePoint Document Management System and Records Centre.

· On an annual basis perform a review of the firm’s Records RetentionSchedule and oversee the update process so that the appropriate retention policies can be applied to all business records.

· Lead the development and delivery of training and awareness programmes to support the RIM Program.

· Monitor the retention and conversion of other media and apply tools to enable users to access and dispose non-electronic records.

· Experienceworking closely with Information Technology staff to build records management functionality into the enterprise architecture and to ensure information systems incorporate records management functionality appropriate to the records/information assets they support.

· Represents RIM on Information Technology project teams, maintains good working relationships with all IT personnel and works collaboratively to meet information governance requirements.

· Maintain and manage the information lifecycle process and the deployment of a legally defensible records disposition process for the company.

· Facilitate communication with departments and senior management regarding current and projected operational requirements, issues, legislative and regulatory matters associated with records management and retention.

· Work withInternal Audit to ensure that the principles of a compliance monitoring program are sound and that the program is conducted satisfactorily.

· Lead Records and Information Management initiatives that result in the measurable reduction of costs and/or minimize risks relating to information governance and information classification, access and disposition.

· Based upon legal advice, place information assets involved in litigation or potential litigation on destruction hold via a Legal Hold Notice until the matter is settled or records are released by the Legal Department.

· Actively participate in any e-discovery process.


· Be recognized as the company’s Head of RIM

· Advise senior managers across the business and functional areas on the adequacy of records controls.

· Support a culture of Compliance in all business interactions and ensure that records management activities help mitigate compliance risk. Demonstrate unwavering professionalism and relationship management skills.

· Demonstrate Cultural Intelligence and be a lead change agent in the organization.

· Ability to work collaboratively and build consensus among cross-functional groups and demonstrate sound judgment even in ambiguous situations.

· Employ strong communication, collaboration skills, and technical knowledge to influence IT and Information Security stakeholders on key technology and information governance decisions impacting technology systems that touch the company’s information assets.

· Interface with regulators as required, meeting records requests from regulators to the firm.

· Self-motivation and ability to work independently.

Knowledge, Skills and Abilities

Competencies required for successful job performance

· Clear thinker who can inherently separate strategic and tactical priorities

· Possess in-depth understanding of the importance of managing the firm’s information assets to drive business, reduce risks and costs

· Ability to work collaboratively and build consensus among cross-functional groups and demonstrate sound judgment even in ambiguous situations.

· Knowledge of IT Services Management and service provisions.

· Extremely organized and meticulous.

· Strong writing skills.

· Knowledge of current and emerging records and information management practices.

· Compliance Monitoring Program knowledge and experience.

· Be able to create project plans, propose and schedule resources and meet project milestones based on high-level management guidance and knowledge of the overall goals and objectives of assigned projects.

· Exceptional familiarity with all MS Office products (Word, Excel, PowerPoint), and in depth technical expertise around y SharePoint.

· Ability to interact with senior management.

Essential Qualifications

Experience, education and any certifications as necessary for successful job performance

Bachelor’s degree in an information management-related discipline plus one year related experience – or – six years of management or leadership experience in an information management-related discipline. Prior experience implementing a corporate Records and Information Management Policy and related compliance monitoring program is necessary.

Desired Qualifications

Experience, education and any certifications as necessary for successful job performance

Certified Records Manager (CRM) preferred

(Actively working toward one of these certifications is acceptable).