Records Management Analyst

Job Description: The Records and Information Management Analyst is responsible for governing the Firm's records management program ensuring compliance with business, legal, and regulatory requirements.

Responsibilities:

Conduct risk assessment and gap analysis of the Firm's existing records management program by mapping regulatory requirements to existing records and controls.

Develop risk-based approach to closing gaps and building a sustainable Records and Information Management program.

Ensure critical record management controls are defined and working as designed by auditing key controls regularly.

Reduce ambiguity of the Firm's exposure level to risk management sanctions

Identify process improvement needs and drive implementation of necessary changes including system enhancements.

Track and trend records management costs, performance, and control metrics

Communicate program requirements to all who are expected to comply

Qualifications:

Thorough understanding of SEC records management regulations (e.g., SEC 17a-3 and SEC 17a-4) or equivalent experience preferred.

Strong interpersonal skills, including the ability to work collaboratively with and influence others. Incumbent will collaborate regularly with attorneys, compliance officers, risk managers, and technology professions.

Must be able to understand technical records management designs and translate technical controls and performance considerations to business users.

Understanding of brokerage operations, trade support, and/or records management. Bachelors degree preferred.

Searchable Keywords: Records Management Analyst / gj-mo

Expected Travel Time: None