Operations Manager

eClerx • Salt Lake, UT

6d • Onsite

About The Position

The Record Retention Operations & Coordination Manager is a senior individual contributor and team lead responsible for architecting and executing the firm's global records retention program with a primary focus on capital markets businesses — including equities, fixed income, derivatives, structured products, prime brokerage, and securities financing. This role sits at the intersection of Compliance, Technology, Legal, and Front Office Operations and requires deep familiarity with capital markets instruments, trade life cycle workflows, and the regulatory recordkeeping obligations that govern broker-dealers and investment advisers under US and international laws.

Requirements

• Bachelor’s degree in business administration, Finance, Information Management, or a related field.
• 8+ years of experience in records management, information governance, or operations within a capital markets operations at an investment firm, or global broker-dealer.
• Demonstrated knowledge of the trade life cycle across at least two asset classes (equities, fixed income, derivatives, FX, loans).
• Knowledge of core banking or capital markets platforms (Murex, Calypso, Temenos, FIS, Broadridge, or equivalent).
• Understanding of US financial regulations governing records retention (SEC 17a-4, FINRA 4511, CFTC 1.35, Dodd-Frank Title VII, BSA/AML).
• Proven track record of managing regulatory examinations and producing records in response to regulatory requests.
• Strong executive communication skills with experience presenting to C-suite and board-level audiences.
• Prior people management experience leading cross-functional, cross-regional teams

Responsibilities

• Own the firm's global Records Retention Schedule (RRS) for capital markets, covering equities, fixed income, derivatives , structured products, prime brokerage, repo/reverse repo, and securities lending.
• Oversee retention requirements for prime brokerage records including margin agreements, rehypothecation records, securities lending activity, and client collateral documentation
• Coordinate with the Legal and eDiscovery teams on litigation hold management — ensuring retention schedules are superseded by active legal holds and that hold notifications are tracked and released appropriately.
• Lead data lifecycle management initiatives — governing records from creation through active use, archival (nearline/offline tiers), and certified destruction — in coordination with Sr. Stakeholder/managers
• Develop and maintain an Information Governance scorecard and quarterly reporting pack for the senior leadership — covering retention compliance rates, legal hold inventory, remediation pipeline, and regulatory change impact

What This Job Offers

• Job Type: Full-time
• Career Level: Senior