Records Management

Sumitomo Mitsui Banking Corporation • Charlotte, NC

1d • Hybrid

About The Position

SMBC Group is a top-tier global financial group with a 400-year history, headquartered in Tokyo. It offers a diverse range of financial services and has over 130 offices and 80,000 employees worldwide. In the Americas, SMBC Group provides commercial and investment banking services to corporate, institutional, and municipal clients across multiple countries. The SMBC Americas Division is seeking a Senior Records Management Compliance Lead to join its growing Records Management team. This role is crucial for strategically bridging the Records Management organization, Technology teams, and Business stakeholders during a transformational period focused on modernizing the records management program and implementing a primary archive platform. The position is essential for sustaining and scaling the records management framework beyond an initial pilot to a broader portfolio of over 130 critical applications and 1700+ total applications. The successful candidate will drive adoption, ensure compliance, and build relationships across all organizational levels while supporting the implementation of automated data lifecycle management processes.

Requirements

• 7+ years of experience in records management, information governance, or related field within financial services industry
• 5+ years of experience working at the intersection of business, technology, and compliance teams
• Demonstrated experience implementing enterprise content management or archiving solutions (A360, Smarsh, Documentum, OpenText, FileNet, SharePoint, or similar platforms)
• Experience with records management frameworks, retention scheduling, and regulatory compliance in banking environment
• Proven track record of successfully managing stakeholder relationships across multiple organizational levels and functions
• Strong understanding of data lifecycle management principles and practices
• Experience with enterprise archiving platforms
• Familiarity with retention management tools and automated policy enforcement systems
• Understanding of API integration, system onboarding processes, and enterprise architecture principles
• Proficiency in Microsoft Office Suite (PowerPoint, Word, Excel) for documentation and presentation development
• Deep understanding of banking regulatory requirements related to record retention (FINRA, SEC, OCC, FDIC, etc.)
• Knowledge of legal hold processes and litigation support requirements
• Understanding of data privacy regulations and their intersection with records management
• Experience interpreting regulatory guidance and translating into operational procedures
• Excellent communication and interpersonal skills with ability to influence without direct authority
• Strong analytical and problem-solving capabilities
• Ability to manage multiple competing priorities and stakeholder demands
• Change management experience with ability to drive adoption of new processes and technologies
• Project management skills with experience managing cross-functional initiatives

Nice To Haves

• Specific platform experience with enterprise archiving platforms
• Knowledge of enterprise service management platforms

Responsibilities

• Collaborate with technical teams on enterprise archive platform implementation and configuration
• Support the development of automated policy creation and assignment processes within existing retention management tools
• Help design and implement dashboarding and KPI tracking systems to measure compliance and program effectiveness
• Support the configuration of enterprise records applications and governance tracking systems
• Interpret regulatory requirements and translate them into practical, implementable technical and business processes
• Distinguish between regulatory record retention requirements and business data retention needs
• Support legal hold processes and ensure proper coordination with Legal Department requirements
• Help establish and maintain records management controls that can be documented, measured, and audited
• Assist in the development of exception handling processes and escalation procedures
• Create and maintain documentation of processes, procedures, and best practices
• Develop training materials and conduct knowledge transfer sessions for business and technical teams
• Support the creation of job aids and reference materials for Records Management Coordinators
• Help establish a center of excellence approach to records management that reduces dependency on external consulting support
• Contribute to the maturation of SMBC's records management program

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed