SEC, CFTC, NFA Records Management (MAx $70/hr W2)

Lenmar Consulting Inc. • Jersey City, NJ

161d

About The Position

A thorough understanding of the books and records rules of the Securities Exchange Commission (SEC), Financial Regulatory Authority (Client), Commodity Futures Trading Commission (CFTC), Exchanges (exp. Chicago Mercantile Exchange, Chicago Board of Trade, etc.), National Futures Association (NFA) and other entities and governing bodies is required. The candidate will use industry and regulatory knowledge to guide stakeholders through seamless adherence to regulatory and enterprise standards, providing suggestions for process improvements and risk mitigation as the RMO develops.

Requirements

• Expertise in U.S. regulations, particularly for Systemically Important Financial Institution, from a Records Management perspective, with familiarity of global regulations
• Expertise in CFTC 1.31, SEC 17a-3/4, SEC 18a-5/6
• Superior ability to organize verbal and written communication to clarify purpose and importance, stress major points and follow a logical sequence
• Ability to operate in a complex environment, managing multiple complex initiatives covering global markets, technology, project management etc.
• Familiarity with current regulations related to Records Management
• Ability to multi-task on an ongoing basis
• Ability to interact effectively with people at all levels of the firm

Responsibilities

• Provide governance to Swap Trade Reconstruction process
• Keep abreast of relevant regulatory changes/developments
• Communicate regulatory information locally and globally
• Streamline, and continuously seek to improve, processes for the distribution, retrieval, and storage of records, including onboarding new information technologies into the firm.
• Work closely and proactively with Compliance, Legal and Business Units to establish and manage Records Management policy requirements and the required operational processes to ensure that the policy is met.
• Drive the transformation of the firms' records management processes to meet organizational and regulatory requirements
• Develop and/or deliver presentations to senior management on records management best practices of procedures

What This Job Offers

• Number of Employees: 501-1,000 employees