Director Records & Information Management

Waddell & Reed Financial, Inc   •  

Overland Park, KS

Industry: Accounting, Finance & Insurance


8 - 10 years

Posted 222 days ago

This job is no longer available.


Under the general direction of the company’s [Legal] department, the Director of Records and Information (RIM) will be responsible for overseeing the design, creation, implementation, management and continuous improvement of an enterprise-wide records and information management program.


  • Design, create, and implement an enterprise-wide records and information management (“RIM”) program.
    • Serve as key contact for, manage the day-to-day work efforts and coordinate the activities of the independent contractors retained by the company to complete the project.
    • Document the company’s RIM related policies, processes and procedures in collaboration with the company’s Legal, Compliance and Enterprise Technology Services departments.
    • Develop and maintain an information asset portfolio of data maps and physical records inventories.
  • Manage, administer, and ensure the ongoing sustainability of, the company’s RIM program.
    • Monitor, assess and update as necessary the company’s RIM policies, processes and procedures.
    • Monitor changes in, and maintain current knowledge and awareness of federal, state and local laws, rules and regulations applicable to the RIM program, with a particular focus on those applicable to the company’s regulated business units, namely, the broker-dealer and registered investment adviser units; monitor changes in, and maintain current knowledge and awareness of RIM related guidance promulgated by the company’s regulators and self-regulatory organizations in which the company is a member, including the US Securities and Exchange Commission, FINRA, Inc., the Municipal Securities Rulemaking Board, and the Commodity Futures Trading Commission.
    • Collaborate with and assist all business units, functions and roles within the company to establish and maintain the RIM program, including review, assessment and updates to unit specific file plans and records retention schedules.
    • Coordinate with the company’s Legal, Compliance and Internal Audit departments to respond to requests for audits, information, subpoenas and retention holds.
    • Oversee retention activities; ensure the appropriate and timely disposition of records eligible for destruction; assist with RIM related activities, such as clean up events.
    • Ensure company personnel are knowledgeable about RIM program principles and requirements; assist with the development and implementation of RIM related training.
    • Identify information governance best practices and issues and make recommendations to company management.
    • Maintain current knowledge and awareness of RIM industry trends, best practices, improved methods and technologies related to records and information management; conduct ongoing benchmarking of company RIM program requirements.
  • Assist in the development of an enterprise wide electronic records management strategy; provide subject matter expertise to, and collaborate with the Enterprise Technology Services and Procurement departments, in the analysis, selection and implementation of electronic content management technology for the company.
  • Serve as primary liaison with the company’s physical records storage vendors.

Required Skills:

  • Strong written and verbal communication skills; ability to create timely, accurate and succinct written communications; ability to share information and ideas with others.
  • Excellent interpersonal and customer service skills; ability to work with senior management, mid-level management and end-users.
  • Excellent business judgment; ability to quickly build business acumen in order to help serve the needs of the organization and influence leaders in newly established RIM practices.
  • Strong project management skills; targets and achieves results, delivers on commitments, sets challenging goals, prioritizes tasks, overcomes obstacles, demonstrates persistence and stamina, accepts accountability, volunteers for additional work, handles information flow, committed to continuous improvement.
  • Strong listening skills; open to other viewpoints; maintains constructive relationships, welcomes newcomers and promotes a positive atmosphere.
  • Proficient with Microsoft Office and enterprise content/records management systems, electronic records handling, imaging and emerging technologies.

Required Education and Experience:

  • A bachelor’s degree is required.
  • Eight to 10 years of relevant experience in enterprise-wide records and information management in a large, complex corporate setting is required, preferably in financial services.
  • A basic understanding of records and information management policies, processes, and procedures is required.

Preferred Education and Experience:

  • A bachelor’s degree in Information/Library Science, Business Administration, Information Management, Business Law or related degree is preferred.
  • Prior experience in the implementation of enterprise-wide RIM programs is preferred.
  • Prior experience in writing processes and documenting procedures preferred.
  • Certified Records Analyst (ICRM); Certified Records Manager (ICRM); ERM Master (AIIM); ECM Master (AIIM); Information Governance Professional (ARMA); Project Management Professional (PMI); Certified Information Privacy Professional (IAPP) or candidates (with ability to obtain certification within one year of hire date) preferred.

Tracking Code 1749-732