Records Management Director

DTCC Candidate Experience Site • Jersey City, NJ

1d • Hybrid

About The Position

Are you ready to make an impact at DTCC? Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We're committed to helping our employees grow and succeed. We believe that you have the skills and drive to make a real impact. We foster a thriving internal community and are committed to creating a workplace that looks like the world that we serve. Being a member of the General Counsel's Office, the Records Management Director is responsible for leading the Records Management Team, directing day-to-day activities required to maintain DTCC’s Global Records Management Program (the “Program”), including creating and retaining controls and processes that support DTCC’s adherence to applicable legal and regulatory requirements as they relate to all lines of business and functional areas across DTCC and its subsidiaries globally. This involves leading risk-based monitoring and testing, promoting Program awareness through training and communications, and supporting efforts to design and maintain the tools needed to lead the Program. The Director also assists in the preparation of reports on the status of the program to Board, Committees and senior management. The candidate must have strong communication skills with the ability to articulate problems and solutions through concise and clear messaging and have demonstrated the ability to assess complex issues and structure potential solutions to drive resolution with senior partners.

Requirements

• Minimum of 10 years of financial services industry experience in audit, risk, compliance, regulatory or data management functions
• Bachelor’s degree required
• Proven leadership and project management skills with experience leading enterprise-wide programs
• Excellent technical, analytical, problem solving, decision-making and investigative skills
• Ability to manage multiple priorities across varying functions
• Strong interpersonal, presentation, organizational and communication skills.
• Knowledge of laws, rules, regulations impacting a clearing agency and/or self-regulated organization

Nice To Haves

• advanced degree and/or certification a plus (e.g., Information Governance or Artificial Intelligence)

Responsibilities

• Lead the Records Management Team in the development, maintenance and continuous enhancement of policies, procedures, processes and tools that support compliance with applicable legal and regulatory requirements.
• Oversee risk-based monitoring and testing of technology conducted by the team to assess the effectiveness of controls.
• Direct efforts to promote Program awareness and educate staff on relevant developments and initiatives through ongoing training, communications and educational resources.
• Organize enterprise-wide initiatives designed to support Program compliance, and the identification and remediation of gaps.
• Maintain a comprehensive understanding of laws, regulations and requirements applicable to records management and resulting controls that enable compliance.
• Monitor and evaluate the impact of changes in technology, third party engagements, regulatory developments and record ownership on the Program.
• Assess coverage of requirements, scope of monitoring and the current state of the Program periodically.
• Partner with business and functional areas to assist with developing compliant requirements, controls and processes.
• Work with leaders throughout the organization to provide guidance on adherence to the Program, gap remediation and support to address issues involving records management.
• Support applicable business and functional areas with addressing records management-related requests received during internal and external audits/reviews, regulatory examinations, inspections, reporting and inquires.
• Communicate key Program statuses, issues and key risks via maintenance and production of Board, Committee and Management reporting of compliance program effectiveness, issues, and key metrics.
• Participate in technology and data-related working groups and governance structures.
• Effectively challenge the business areas’ records management-related processes and controls, based on analysis of regulatory issues, metric performance and internally identified issues.
• Oversee the collection and quality assurance of management information reported in compliance management dashboards.

Benefits

• Competitive compensation, including base pay and annual incentive.
• Comprehensive health and life insurance and well-being benefits, based on location.
• Pension / Retirement benefits.
• Paid Time Off and Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Number of Employees: 1,001-5,000 employees