The Depository Trust & Clearing Corporation (DTCC) · 3 days ago
Records Management Director
Jersey City, NJ
Full-time
Hybrid
Senior Level, Lead/Staff
10+ years expThe Depository Trust & Clearing Corporation (DTCC) is at the forefront of innovation in the financial markets, committed to employee growth and success. The Records Management Director will lead the Records Management Team, ensuring compliance with legal and regulatory requirements while promoting program awareness and managing related initiatives.
FinanceFinancial ExchangesFinancial ServicesInformation Technology
Responsibilities
Lead the Records Management Team in the development, maintenance and continuous enhancement of policies, procedures, processes and tools that support compliance with applicable legal and regulatory requirements
Oversee risk-based monitoring and testing of technology conducted by the team to assess the effectiveness of controls
Direct efforts to promote Program awareness and educate staff on relevant developments and initiatives through ongoing training, communications and educational resources
Organize enterprise-wide initiatives designed to support Program compliance, and the identification and remediation of gaps
Maintain a comprehensive understanding of laws, regulations and requirements applicable to records management and resulting controls that enable compliance
Monitor and evaluate the impact of changes in technology, third party engagements, regulatory developments and record ownership on the Program
Assess coverage of requirements, scope of monitoring and the current state of the Program periodically
Partner with business and functional areas to assist with developing compliant requirements, controls and processes
Work with leaders throughout the organization to provide guidance on adherence to the Program, gap remediation and support to address issues involving records management
Support applicable business and functional areas with addressing records management-related requests received during internal and external audits/reviews, regulatory examinations, inspections, reporting and inquiries
Communicate key Program statuses, issues and key risks via maintenance and production of Board, Committee and Management reporting of compliance program effectiveness, issues, and key metrics
Participate in technology and data-related working groups and governance structures
Effectively challenge the business areas’ records management-related processes and controls, based on analysis of regulatory issues, metric performance and internally identified issues
Oversee the collection and quality assurance of management information reported in compliance management dashboards
Qualification
Required
Minimum of 10 years of financial services industry experience in audit, risk, compliance, regulatory or data management functions
Bachelor's degree required
Proven leadership and project management skills with experience leading enterprise-wide programs
Excellent technical, analytical, problem solving, decision-making and investigative skills
Ability to manage multiple priorities across varying functions
Strong interpersonal, presentation, organizational and communication skills
Knowledge of laws, rules, regulations impacting a clearing agency and/or self-regulated organization
Preferred
Advanced degree and/or certification a plus (e.g., Information Governance or Artificial Intelligence)
Benefits
Comprehensive health and life insurance and well-being benefits, based on location.
Pension / Retirement benefits.
Paid Time Off and Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
Company
The Depository Trust & Clearing Corporation (DTCC)
With over 50 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Frank La Salla
President, CEO and Director of DTCC
E
Edward Cortes
Executive Director
Recent News
2026-01-16
2026-01-09
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