Engineering-L2-Salt Lake City-Associate-Data Governance Operations

We are seeking an experienced Vice President to lead the global operations for the firm’s Records Management Program.  The individual will be responsible for day-to-day operations, ensuring compliance to regulations, managing control frameworks, and guiding clients in the onboarding process to the firm’s Record Management platforms.  The ideal candidate will possess deep expertise in record retention, regulatory compliance, coupled with exceptional leadership and stakeholder management skills.

Key responsibilities:

• Lead all operational aspects of the program, overseeing execution of strategy, policy implementation and control frameworks to maintain compliance with laws, regulations and internal policies
• Serve as the primary point of contact for leadership on all retention operational matters, escalating non-compliance issues as appropriate
• Supports clients in onboarding to the firms’ record management platforms, ensuring smooth transition and adherence to internal and external requirements
• Collaborate with Compliance, Legal and Operational Risk to define best practices, standards and procedures
• Develop and execute monitoring and testing programs to ensure adherence to record retention policies and regulatory / legal requirements
• Define and maintain control objectives, and controls;  Assess control efficacy, identify control gaps and partner with Core Records Management Engineering  to implement corrective actions
• Assist divisions throughout the record management certification process
• Stay informed on evolving regulations and laws related to records management 
• Partner with legal and compliance to interpret new regulations and implement necessary changes within the program
• Partner with legal and compliance to respond to regulatory inquiries / exams / audits on Firmwide Records Management processes and systems 
• Oversee the identification, creation and resolution of issues related to control gaps and control efficacy
• Establish robust processes for identifying and mitigating risks in the program
• Partner with all participants in the records management lifecycle from onboarding to certification, ensuring a cohesive approach to records management
• Provide regular updates and reports to leadership on the status of key deliverables, highlighting metrics, risks, trends and accomplishments 
• Develop and deliver training materials for internal stakeholders to promote awareness of process, procedures, tooling and compliance with firm policies, standards and procedures
• Act as a subject matter expert , providing guidance to internal teams and assisting divisional discussions with Compliance and Legal on record keeping obligations and data retention requirements
• Drive enhancements to the records management program, including process improvements
• Engage with Core Records management Engineering to identify and implement engineering uplift
• Benchmark the firms’ program against industry best practices to ensure leading standards are maintained

Qualifications:

• Bachelor’s degree in business, law, compliance or related field
• 12+ years of financial services experience in records management, regulatory compliance or related operational roles, with a focus on global programs
• Strong understanding of industry standard regulatory and risk management frameworks 
• Experience in risk identification, control framework and issue resolution in regulated environments
• Proven track record in managing large scale compliance programs and leading diverse teams
• Excellent communication, organizational and analytical skills, with the ability to influence and collaborate with senior stakeholders