Director, Corporate Records - Rockville, MD Job Listing at FINRA in Rockville, MD (Job ID 001926)



Location: Rockville, MD
Application deadline: None
Type: Not specified
Career Level: Director
Salary Range: Not specified
Number of Jobs: 1
Relocation Available: No
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FINRA is seeking a well-qualified individual for our Director, Corporate Records opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at - no phone calls, please.
Job Summary:
The Director of Corporate Records (DCR) is responsible for senior level oversight of FINRA's Records Management Program.  With guidance from the FINRA Records Management Board, the DCR will write Records policy that encompasses requirements across the enterprise that meet SEC and state rules/laws and FINRA's requirements for full record life cycle implementation.  This position will develop, maintain and implement organization-wide records management policies and procedures, ensure department compliance to FINRA's records policies and procedures, and, in general, are responsible for guiding and auditing departments' Records Managers to ensure compliance with FINRA's Records Procedures and Policy. The DCR serves as FINRA's senior operational expert on records management issues and ensuring full records life cycle implementation. The DCR will have an in-depth understanding of the records management discipline and related technology solutions that support FINRA's records management principles.  This position provides operational leadership to FINRA's solution for transforming the organization to electronic records management.  The DCR will recommend changes to organization-wide and department policies and procedures to address changes in records management requirements, implement best practices, and to improve the operational effectiveness and efficiency of FINRA's Records Management Program.
Essential Job Functions:
  • Develop and maintain FINRA Records Policy and Procedures, with Records Board approval of final Policy and Procedures.  Ensure implementation of FINRA's Records Management policies and procedures to address department requirements and compliance.

  • Offer strategic direction to the FINRA Records Program regarding changes in records management best practices and electronic records technology enhancements.

  • Lead and manage FINRA's enterprise-wide records management program.

  • Audit department Records Managers' compliance to FINRA's Records Procedures and Policy through reviews of department documentation and practices.

  • Guide and facilitate the creation of best practices for records management to ensure compliance with regulatory requirements and with federal and state regulations regarding creation, digitalization, storage, retention and destruction of FINRA records.

  • Ensure timely updates to the FINRA Records Management Board of records management program operational status, issues and developments. Recommend changes to the Records Management Board to address changes in records management requirements, to implement best practices and to improve operational effectiveness and efficiency.

  • Provide oversight of records organization, classification, storage, access / discovery, retention and disposition.

  • Manage the contracts and relationship for offsite storage vendors and other vendors of records-related services.

  • Establish metrics and reports that document the performance of the records management program and identify potential operational or policy issues or areas for improvement.

  • Manage annual records policy certification and training program for employees.

  • Collaborate with the Office of General Counsel on legal holds and the preservation of recorded information related to legal holds.

  • Support Internal Audit in the development and execution of records management-related audits. Develop responses and recommendations to audit findings.

  • Develop and execute a records management communication plan that keeps employees informed on requirements and new issues, and includes updates to the Records Management Site and creating and posting written FAQs.

  • Coordinate records management policies and procedures with information protection and privacy policies and procedures.

  • Build a community of excellence by engaging Records Manager through outreach and collaboration on records management issues across FINRA.

  • Collaborate with technology, business and product management staff in the identification and documentation of records management requirements and in the implementation of records management solutions.

  • Identify and communicate risk management issues associated with FINRA's Records Management Program.

  • Develop and maintain an up-to-date understanding of the legal and regulatory requirements applicable to FIRNA's records management program and manage the program to meet those requirements.

  • Lead special projects of a critical nature as assigned by management.

Education/Experience Requirements:
  • A bachelors degree, preferably in business, information systems management, or library science, and a minimum of 10 years work experience in business, information systems management, government, education, or library science, with a minimum of 3 years in records management or information management (including business solutions involving records or information management); or an equivalent combination of education and experience is required. Financial services industry or regulatory experience preferred.
  • Professional certification in records management, ARMA or AIIM membership preferred.
  • Possess a thorough knowledge of the records management discipline (including regulatory and compliance requirements) and related business and technology solutions (including electronic records management systems, document controls, storage / retrieval systems, imaging and emerging technologies). Experience with Documentum, SharePoint, OnBase, NextPage, HP TRIM or similar enterprise content management (ECM) systems preferred.
  • Understand related aspects of the records management discipline, including information security, metadata management, information quality, and solutions to access structured and unstructured data (including enterprise search).
  • Possess strong leadership, organizational, collaboration, and project management skills, with the ability to deal effectively with people (particularly at senior levels), resolve issues, and facilitate change. Excellent written and oral communications skills.
  • Have the ability to work under tight timelines across functional areas, to administer a number of open, ongoing assignments at any time including unstructured assignments that require independent judgment.
  • Knowledge of the securities industry, governing rules, and industry practices including industry records compliance efforts is preferred.
  • Must project a professional demeanor, exhibit sound judgment and meet the standards set forth in FINRA's Code of Conduct.
Working Conditions:
  • Work is performed in a standard office environment.
  • Some travel required (normally less than 10%).
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
Please note: FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.
FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
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