Axelon Services Corporation · 1 week ago
Record Management Office Professional
Jersey City, NJ
Full-time
Onsite
Senior Level, Lead/Staff
$65/hr - $70/hr
10+ years expAxelon Services Corporation is seeking a Record Management Office Professional to ensure adherence to regulatory and enterprise standards in records management. The role involves guiding stakeholders, improving processes, and collaborating with various departments to implement records management policies.
ConsultingProject ManagementRecruitingStaffing Agency
Responsibilities
A thorough understanding of the books and records rules of the Securities Exchange Commission (SEC), Financial Regulatory Authority (Client), Commodity Futures Trading Commission (CFTC), Exchanges (e.g., Chicago Mercantile Exchange, Chicago Board of Trade, etc.), National Futures Association (NFA) and other entities and governing bodies is required. The candidate will use industry and regulatory knowledge to guide stakeholders through seamless adherence to regulatory and enterprise standards, providing suggestions for process improvements and risk mitigation as the RMO develops
Provide governance to Swap Trade Reconstruction process
Keep abreast of relevant regulatory changes/developments
Communicate regulatory information locally and globally
Streamline, and continuously seek to improve, processes for the distribution, retrieval, and storage of records, including onboarding new information technologies into the firm
Work closely and proactively with Compliance, Legal and Business Units to establish and manage Records Management policy requirements and the required operational processes to ensure that the policy is met. This includes the implementation of all regulator driven requirements, including SEC, Client, Dodd Frank, NYDFS and any other applicable regulations
Drive the transformation of the firms’ records management processes to meet organizational and regulatory requirements
Develop and/or deliver presentations to senior management on records management best practices of procedures
Expertise in U.S. regulations, particularly for Systemically Important Financial Institution, from a Records Management perspective, with familiarity of global regulations
Expertise in CFTC 1.31, SEC 17a-3/4, SEC 18a-5/6
Superior ability to organize verbal and written communication to clarify purpose and importance, stress major points and follow a logical sequence
Ability to operate in a complex environment, managing multiple complex initiatives covering global markets, technology, project management, etc
Familiarity with current regulations related to Records Management
Ability to multi-task on an ongoing basis
Ability to interact effectively with people at all levels of the firm
Qualification
Required
A thorough understanding of the books and records rules of the Securities Exchange Commission (SEC), Financial Regulatory Authority (Client), Commodity Futures Trading Commission (CFTC), Exchanges (e.g., Chicago Mercantile Exchange, Chicago Board of Trade, etc.), National Futures Association (NFA) and other entities and governing bodies is required
Provide governance to Swap Trade Reconstruction process
Keep abreast of relevant regulatory changes/developments
Communicate regulatory information locally and globally
Streamline, and continuously seek to improve, processes for the distribution, retrieval, and storage of records, including onboarding new information technologies into the firm
Work closely and proactively with Compliance, Legal and Business Units to establish and manage Records Management policy requirements and the required operational processes to ensure that the policy is met
Drive the transformation of the firms' records management processes to meet organizational and regulatory requirements
Develop and/or deliver presentations to senior management on records management best practices of procedures
Expertise in U.S. regulations, particularly for Systemically Important Financial Institution, from a Records Management perspective, with familiarity of global regulations
Expertise in CFTC 1.31, SEC 17a-3/4, SEC 18a-5/6
Superior ability to organize verbal and written communication to clarify purpose and importance, stress major points and follow a logical sequence
Ability to operate in a complex environment, managing multiple complex initiatives covering global markets, technology, project management, etc
Familiarity with current regulations related to Records Management
Ability to multi-task on an ongoing basis
Ability to interact effectively with people at all levels of the firm
Minimum 10 years of experience in either Financial Services firms or management consulting, with a focus on Records Management
Education - Bachelor's degree required
Smooth and efficient written and oral communication skills, with the ability to explain complex issues clearly and concisely to audiences of varying technical or accounting levels
Proven records of working with and presenting to senior management
Proficient in using Microsoft software Office skills (Excel, Word, Access, PowerPoint, Visio, Project)
Rigorous, self-disciplined, paying attention to detail
Capacity to interact with people in different areas, building strong and reliable business relationships
Self-starter and willingness to learn new topics and regulations
Preferred
Good knowledge of capital markets and banking activities: financial products, front to back organization, front to back processes and workflow
Good understanding of banking organization structure: CIB vs non-CIB entities, regional organization, local set-up
Maintain strong external network of peer firms/subject matter experts to maintain detailed knowledge of good record retention market practices
Develop strong internal network across businesses and control functions to maintain detailed knowledge of internal strategy and practices
Ability to influence others and achieve objectives with limited direct reporting supervision
Company
Axelon Services Corporation
For more than 40 years, Axelon has been exceeding market expectations and delivering top talent to the Fortune 500.
501-1000 employees
H1B Sponsorship
Axelon Services Corporation has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (13)
2024 (14)
2023 (3)
2022 (7)
2021 (17)
2020 (12)
Funding
Current Stage
Late StageLeadership Team
Tania Obeid
Chief Executive Officer
Cynthia Lah
Chief Operating Officer
Company data provided by crunchbase