Records Management Director

The impact you will have in this role:

Being a member of the General Counsel's Office, the Records Management Director is responsible for leading the Records Management Team, directing day-to-day activities required to maintain DTCC's Global Records Management Program (the "Program"), including creating and retaining controls and processes that support DTCC's adherence to applicable legal and regulatory requirements as they relate to all lines of business and functional areas across DTCC and its subsidiaries globally. This involves leading risk-based monitoring and testing, promoting Program awareness through training and communications, and supporting efforts to design and maintain the tools needed to lead the Program. The Director also assists in the preparation of reports on the status of the program to Board, Committees and senior management. The candidate must have strong communication skills with the ability to articulate problems and solutions through concise and clear messaging and have demonstrated the ability to assess complex issues and structure potential solutions to drive resolution with senior partners.

Your Primary 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 inquires.
• 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.

NOTE: The Primary Responsibilities of this role are not limited to the details above.

Qualifications:

• Minimum of 10 years of financial services industry experience in audit, risk, compliance, regulatory or data management functions
• Bachelor's degree required; advanced degree and/or certification a plus (e.g., Information Governance or Artificial Intelligence)

Talents Needed For Success:

• 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

The salary range is indicative for roles at the same level within DTCC across all US locations. Actual salary is determined based on the role, location, individual experience, skills, and other considerations . We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

About Us

With over 50 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From 20 locations around the world, DTCC, through its subsidiaries, automates, centralizes, and standardizes the processing of financial transactions, mitigating risk, increasing transparency, enhancing performance and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm innovates purposefully, simplifying the complexities of clearing, settlement, asset servicing, transaction processing, trade reporting and data services across asset classes, bringing enhanced resilience and soundness to existing financial markets while advancing the digital asset ecosystem. In 2024, DTCC's subsidiaries processed securities transactions valued at U.S. $3.7 quadrillion and its depository subsidiary provided custody and asset servicing for securities issues from over 150 countries and territories valued at U.S. $99 trillion. DTCC's Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes more than 25 billion messages annually. To learn more, please visit us at www.dtcc.com or connect with us on LinkedIn , X , YouTube , Facebook and Instagram .

DTCC proudly supports Flexible Work Arrangements favoring openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. When you join our team, you'll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. A DTCC career is more than a good way to earn a living. It's the chance to make a difference at a company that's truly one of a kind.

Learn more about Clearance and Settlement by clicking here .

About the Team

The General Counsel's Office is a valued, trusted and responsive partner within DTCC. The team promotes and protects the best interests of the DTCC family of companies by creating and facilitating solutions and providing guidance on legal and regulatory matters.

Client-provided location(s): Boston, MA, Jersey City, NJ

Job ID: DTCC-212369

Employment Type: FULL_TIME

Posted: 2025-12-24T19:48:28