Salary200,000 - 250,000 USD (PA)
Job TypeFull Time
Job Location Jersey City,New Jersey,United States


E-Discovery Records Manager Corporate Governance ​Manager ARMA IGP regulatory record information management document management records archiving
10 to 20 Years
Financial Services / Banking / Broking / Forex / Investment
Functional Area

Title:Director of Records and Information Management

Company Title: Investment Manager / Advisor

Location: Jersey City, New Jersey

Local Candidates preferred. No Relocation . No VISA

Job Overview

The Director of Records and Information Management serves as the Records Manager, responsible for leading, planning and managing the records management program, regardless of medium or format.

Serves as the records management expert on electronic and non-electronic records management issues. Advises the CCO and the General Counsel on adequacy of documentation and creation and management of Firm records, keeping senior management informed on current and projected operational requirements, issues, legislative, and regulatory matters. Facilitates communications among all departments in matters relating to records/information assets and the management of risks to those assets.

-Formulates and oversees the implementation of the records management policy and procedures for record-keeping in accordance with regulatory requirements for all electronic and non-electronic records, and appropriate professional records/information management standards.

Plans, organizes, directs, reviews, coordinates, and establishes controls for all Departmental records activities.

-Coordinates with Firm Departments to ensure records creation, maintenance, use, and disposition are in accordance with Firm recordkeeping policies and procedures. -Promotes effective records management throughout the Firm.

-Ensures, in consultation with the General Counsel, the CCO, and the Technology Department, the development, establishment, maintenance, and monitoring of effective systems of administrative control for safeguarding all records and deployment of state-of-the-art information technology techniques and modern business management practices.

-Ensures that Firm personnel are knowledgeable and kept current about records management principles and requirements, and that they receive records management training appropriate to their needs. Directs a group of department records coordinators responsible for the implementation of the records management program.

-Works closely and proactively with legal counsel and other personnel within the Firm to ensure that records/information assets are managed to ensure compliance with regulatory and legal requirements.

-Participates in Firm capital planning process for all major information systems to ensure that records management functionality appropriate to the records/information assets they support is included in system design.

-Advises the Technology Department on metadata requirements necessary to achieve this functionality.

-Works with the Technology Department to build records management functionality into the Firm enterprise architecture and to ensure all Firm information systems incorporate records management functionality appropriate to the records/information assets they support. Consults with the Technology Department to assure that records management technology in use is consistent with best practices.

Responsibilities Include, But Are Not Limited ToFirm Records Manager functions and responsibilities as follows:

· Manage and update as appropriate, Firm policies and procedures pertaining to records management and social media including, Firm record retention schedules

· On-going management of the following internal recordkeeping systems including; vendor relationship management, interface with Technology and other internal departments, policies & procedures creation/maintenance, training and support as needed:

· Enterprise Vault

· Compliance Automation

· Protegent Code of Ethics

· Personal Trading

· Gifts & Entertainment

 Global Relay - social media capture

 Hanzo - web capture

 Hummingbird - RIM firm wide

 Others as defined

 Perform RIM vendor due diligence assessments and internal systems RIM risk assessments

 Development of Firm wide training materials

 Compliance BCP coordination and planning as part of the overall Legal Department and Firm BCP plans

WORK and Other Candidate Required Experience

· Minimum 4 year college degree required; 10+ years professional work experience

· Understanding of regulatory record keeping rules (FINRA, SEC, and CFTC)

· Familiar with document management and records archiving products

· ARMA, IGP, equivalent information management certification, relevant industry experience

· Technology background in document, records, and information management

· Understanding of project management lifecycle, ability to manage multiple projects

· Understanding of new technologies such as social media and mobile platforms

· Ability to review and audit technology systems and vendors

· Business writing and presentation skills

· Ability to create computer based training modules and perform training as necessary

· Knowledgeable of database structure and report creation

· Understanding of packaged software products and ability to integrate into existing workflows


Equal employment opportunity employer. We are committed to providing equal employment opportunities to all qualified individuals without regard to the following legally protected characteristics: race, color, religion, sex, pregnancy, national origin, age, physical or mental disability, marital status, sexual orientation, sexual identity, caregiver status, military/veteran status, or any other characteristic protected by local, state or federal law. All employment decisions are based solely on the applicant's relevant experience, skills and qualifications


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