Sr. Records Mgmt. Specialist, E*Trade – NJ
As a member of the Brokerage Compliance department; you will assist in the continuing development and implementation of a company-wide records management program which includes Bank, Broker-Dealer, and Investment Adviser regulatory requirements. A strong candidate will have a solid background in financial services and regulatory or compliance work. The ideal candidate will have familiarity with Bank, Broker-Dealer and Investment
Adviser records regulations, strong oral and written communication skills. The ideal candidate will also have a proven record of driving initiatives to completion through coalition-building and demonstrate a thorough understanding of the way large company processes occur.
RESPONSIBILITIES
• Participates in the regular review and application of the company’s records management policy, including the development of procedural workflows for records in hardcopy and electronic formats. Workflow subject areas may include, but are not limited to, retention schedules, litigation and regulatory holds, records inventory development and maintenance, storage, accession, destruction and/or preservation.
• Supports the IT department by assisting with procedural interpretations that facilitate the proper storage, retrieval, and inventory of electronic media.
• Provides guidance and support to front-line Records Leads, Records Coordinators, and business managers charged with responsibility for owning electronic and hardcopy records.
• Helps manage relationships between the Records Management Department and third-party vendors for the management of offsite hardcopy records.
• Monitors and reports departmental compliance to record retention policies.
• Experience in records management, either through a corporate program or a business level responsibility.
• Experience with information systems that generate electronic records.
• Ability to oversee and direct longer-term initiatives to completion.
REQUIREMENTS
EDUCATION, CERTIFICATION, TRAINING
• Bachelor’s degree or combination of education, experience and certification is required.
See: https://careers.etrade.com/OA_HTML/OA.jsp?OAFunc=IRC_VIS_VAC_DISPLAY&OAMC=R&p_svid=75430&p_spid=228659091 (Source: Indeed.com)
