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Records Management Compliance
at The Compliance Search Group in New York
This position is situated in the investment banking division of a well respected international financial firm. This division provides large corporate, government and institutional clients with comprehensive solutions to their strategic advisory, financing and risk management needs.
Main Function
In this position one will undertake assessments and work with the business to understand RM risk within the firm. He or She will work with the business to mitigate any perceived risks on an on-going basis. In this varied position, encompassing litigation support with accountability to Legal and Compliance, closing any gaps in compliance with policy, senior management reporting and metrics management via the Access database, the successful candidate will be familiar with numeracy, posses technical competence, and understand the impact of IT issues on RM risk in addition to having substantial RM risk experience.
Main Duties
In the records management compliance role one will complete record management assessments according to a risk based scoping approach and pre-defined milestones, as well as QA team members’ work. The individual in this role will refresh previously completed records management assessments to demonstrate their veracity, and embed a culture of accountability and ownership for records management within the business. He or She will remediate agreed action items and provide transparency for due or over-due actions using risk based metrics. Individuals in records management compliance are expected to flag and resolve issues with records management policies, standards, and guidelines in a team sitting. Finally, an individual in records management must promote a good relationship with the firm’s internal partners by developing a strong working relationship with IT, internal counsel, and external counsel to understand and map systems and records ensuring that they are retained for the proper period.
Litigation Support: (preferable, additional experience)
In addition to the role above, individuals providing litigation support must project-manage legal discovery requests in a timely manner by working in partnership with IT and external vendors; follow and update best practices for retrieving data from IT systems, network drives, email repositories, paper archives, and other systems; work closely with legal to implement document retention notices across the firm; and influence and demonstrate compliance with emerging legal and regulatory obligations by partnering with IT.
Metrics and Reporting:
In this records management compliance role, one will be accountable for preparing and presenting weekly, monthly, and quarterly senior management reports. A high level of MS Access knowledge is required in order to improve, maintain and report metrics from the team databases.
The Successful Candidate will have direct relevant records management experience, as well as, an understanding of process risk in the financial services sector. He or she will have strong experience leading projects and exposure to project management techniques. Candidates with evidence of core management skills such as the ability to build strong relationships with internal partners, especially IT departments, and the ability to plan and present control improvements with changing regulatory demands will be strongly considered.
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com
Main Function
In this position one will undertake assessments and work with the business to understand RM risk within the firm. He or She will work with the business to mitigate any perceived risks on an on-going basis. In this varied position, encompassing litigation support with accountability to Legal and Compliance, closing any gaps in compliance with policy, senior management reporting and metrics management via the Access database, the successful candidate will be familiar with numeracy, posses technical competence, and understand the impact of IT issues on RM risk in addition to having substantial RM risk experience.
Main Duties
In the records management compliance role one will complete record management assessments according to a risk based scoping approach and pre-defined milestones, as well as QA team members’ work. The individual in this role will refresh previously completed records management assessments to demonstrate their veracity, and embed a culture of accountability and ownership for records management within the business. He or She will remediate agreed action items and provide transparency for due or over-due actions using risk based metrics. Individuals in records management compliance are expected to flag and resolve issues with records management policies, standards, and guidelines in a team sitting. Finally, an individual in records management must promote a good relationship with the firm’s internal partners by developing a strong working relationship with IT, internal counsel, and external counsel to understand and map systems and records ensuring that they are retained for the proper period.
Litigation Support: (preferable, additional experience)
In addition to the role above, individuals providing litigation support must project-manage legal discovery requests in a timely manner by working in partnership with IT and external vendors; follow and update best practices for retrieving data from IT systems, network drives, email repositories, paper archives, and other systems; work closely with legal to implement document retention notices across the firm; and influence and demonstrate compliance with emerging legal and regulatory obligations by partnering with IT.
Metrics and Reporting:
In this records management compliance role, one will be accountable for preparing and presenting weekly, monthly, and quarterly senior management reports. A high level of MS Access knowledge is required in order to improve, maintain and report metrics from the team databases.
The Successful Candidate will have direct relevant records management experience, as well as, an understanding of process risk in the financial services sector. He or she will have strong experience leading projects and exposure to project management techniques. Candidates with evidence of core management skills such as the ability to build strong relationships with internal partners, especially IT departments, and the ability to plan and present control improvements with changing regulatory demands will be strongly considered.
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com
Published at 24-03-2010
Viewed: 31 times
Viewed: 31 times