Regulatory Records Management

Regulatory Records Management / Information Lifecycle Management Consultant

Location: Charlotte, NC

Work Arrangement: Hybrid – 3 days onsite and 2 days remote

Employment Type: Contract with potential conversion to permanent employment

Openings: 2

Sponsorship: Candidates requiring sponsorship will not be considered

Position Summary

We are seeking a Regulatory Records Management / Information Lifecycle Management Consultant to support records governance and regulatory recordkeeping initiatives within a banking and financial services environment.

The ideal candidate will have a combination of regulatory records management, records governance, trade lifecycle, technology, data, and project management experience. This is not a traditional records management role. The consultant will work closely with business, technology, data, compliance, and governance teams to implement change and ensure compliance with records retention and regulatory recordkeeping requirements.

Key Responsibilities

• Drive regulatory records management and recordkeeping initiatives.
• Support compliance with records retention policies and regulatory recordkeeping obligations.
• Perform records identification, classification, and inventory activities.
• Apply retention schedules and regulatory recordkeeping requirements.
• Manage data remediation workstreams and track resolution activities.
• Coordinate the movement of data and records into retention repositories.
• Support technology migration initiatives through records governance and classification activities.
• Partner with business stakeholders, technology teams, data teams, and governance functions to implement change.
• Manage projects, initiatives, and workstreams involving multiple stakeholder groups.
• Facilitate meetings, discussions, and working sessions with business and technology partners.
• Prioritize competing projects and deliverables based on business and regulatory requirements.
• Track project milestones, risks, issues, dependencies, and action items.
• Drive outcomes and ensure timely completion of regulatory records initiatives.
• Support documentation of business processes, records requirements, governance controls, and implementation plans.
• Analyze financial markets workflows, trade generation, lifecycle events, associated records, and regulatory obligations.

Required Qualifications

• Experience with regulatory records management, records governance, information lifecycle management, or records compliance.
• Experience applying records retention schedules and regulatory recordkeeping requirements.
• Experience performing records classification and identification exercises.
• Experience managing data remediation or records remediation workstreams.
• Understanding of structured data applications, data repositories, and technology-enabled recordkeeping environments.
• Experience supporting data or technology migration initiatives.
• Strong project and change management experience.
• Ability to prioritize multiple projects and manage competing deadlines.
• Strong collaboration and stakeholder management skills.
• Ability to work directly with business partners and technology teams.
• Strong communication, facilitation, documentation, and problem-solving skills.
• Ability to effect and implement change across multiple stakeholder groups.
• Financial services, banking, capital markets, or broker-dealer experience.

Preferred Qualifications

• Knowledge of trade lifecycle processes, including trade generation and lifecycle events.
• Experience working with regulatory records associated with financial markets activities.
• Experience with information governance, data governance, or compliance frameworks.
• Experience supporting records repository implementations or migrations.
• Experience working in technology-enabled records management environments.
• Series 99 certification is desirable.
• Experience working with broker-dealer, capital markets, or financial services compliance teams.