The Director of Information and Document Risk Management is responsible for the development and oversight of all components of the firm's enterprise content management program. The program will direct the proper record-keeping, organization, handling, storage, retrieval, and proper destruction of business records for the firm.
Senior IT, Legal or Compliance professional with significant experience in document/records management related legal and regulatory matters, such as electronic information management and recordkeeping, information security and e-discovery. Demonstrated experience in senior level position(s) with authority to handle sensitive and secured information. Successful track record of effectively leading large, multi-disciplined electronic records management projects and teams in a professional services setting. Key Areas of ResponsibilityBuild and Manage Records Department, Update and maintain policies and procedures in support of the Firm’s records retention policy, Direct Audit & Search Activities, Undertake pro active and reactionary compliance reviews, Produce information responsive to requests of Chief Compliance Officer and Compliance Council, Produce information responsive to audits, subpoenas, litigation, regulatory inquiries and routine information requests.
A
trade automation, connectivity and compliance solution, the SunGard
Transaction Network (STN) links institutions throughout the financial
services community to facilitate end-to-end transaction processing.
With
more than 4,500 client firms in 60 countries managing more than $12
trillion, Advent has established itself as a leading provider of
mission-critical applications for investment management operations of
all sizes and strategies.
QUMAS
is a global compliance software company offering a complete Enterprise
Governance, Risk and Compliance solution with over 250 customer
deployments.
Belzberg
Technologies has been at the forefront of the electronic trading
evolution from the very beginning, and continues to provide world-class
service, execution and technology to the securities industry.
