Records Management - SEC, CFTC, NFA, Swaps (Max $70/hr W2)

Company Description

Finance

Job Description

We are seeking a Records Management Professional with experience in the financial services sector to join our team for a 6-month contract role (potential extension). The ideal candidate will have significant expertise in SEC, CFTC, and other regulatory bodies' rules within the financial services industry. This role will focus on overseeing and improving the Swap Trade Reconstruction process, ensuring compliance with financial regulations, and driving transformation in records management processes.

Minimum Required Qualifications:

• 10+ years of experience in financial services or management consulting, with a strong focus on records management in the financial sector.
• Bachelor's degree required.
• Strong written and verbal communication skills, with the ability to simplify complex issues for diverse audiences.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint, Visio, Project).
• Detail-oriented with a strong capacity to multitask and manage complex initiatives.
• Ability to work effectively with individuals at all levels within the organization.

Preferred Qualifications:

• In-depth knowledge of capital markets, financial products, and banking activities.
• Familiarity with financial institution structures, such as CIB vs non-CIB entities and regional/local setups.
• Strong external network of peers and subject matter experts to stay updated on best practices in records management.
• Ability to influence and drive initiatives without direct reporting supervision.

Responsibilities:

• Guide stakeholders in adhering to SEC, CFTC, NFA, and other financial regulatory rules within the financial services sector.
• Oversee the Swap Trade Reconstruction process and propose improvements for efficiency and compliance.
• Ensure compliance with SEC, Dodd-Frank, NYDFS, and other applicable financial services regulations.
• Collaborate with Compliance, Legal, and Business Units to manage records management policies and operational processes.
• Develop and deliver presentations on records management best practices to senior management.
• Stay up-to-date on regulatory changes and integrate them into firm practices and policies.
• Drive transformation in the firm’s records management processes to ensure alignment with organizational and regulatory standards.

Additional Information

All your information will be kept confidential according to EEO guidelines.