Jersey City, NJ30+ days ago
Preferred Qualifications: 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 Client Registrations Required: Not Applicable CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required): Not Applicable SEC Security-Based Swap Dealer Associated Person: Not Applicable 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 an 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.