GLOBAL CAPITAL MARKETS RECORDS MANAGER

The Records Manager will serve as a liaison between GCM and the bank-wide Records and Information Management department ("RIM") and will work together with RIM to maintain and enhance the Bank's legally defensible records management program that includes appropriate retention, management, monitoring and disposition of all Bank records. The GCM Records Manager will play a key role in the implementation and maintenance of a document management system within GCM. This person will also be responsible for various projects to improve access, availability and security of all records managed and to maintain an overall records management approach that supports business needs, minimizes risk and ensures compliance with both Bank policies and regulatory requirements.  Records to be managed include trade-related legal documentation, customer communications, voice recordings, financial records, etc. and may be in paper or various electronic formats. The GCM Records Manager will need to understand the various business needs and regulatory requirements related to the retention and retrievability of these records. The ideal candidate will have experience managing records in a trading environment and a working knowledge of applicable regulatory recordkeeping requirements, specifically including those related to Swaps under the Dodd Frank Act.

 

Major Responsibilities:

 

Develop, maintain and oversee GCM records management procedures and training, and coordinate with Records and Information Management department on policies applicable to GCM.

 

Ensure that Records are properly identified and coded under the records retention schedule to comply with regulatory retention requirements.

 

Analyze GCM records and corresponding classifications to ensure compliance with Bank policies, regulatory guidelines and statutory laws.

 

Develop, implement and maintain a Quality Assurance framework to ensure required Records are saved in the appropriate file location or system and are accurately tagged with corresponding metadata.

 

Coordinate with the Bank's Legal department to ensure all records associated with legal hold requests are identified and secured.

 

Follow-up and control process to ensure release and eventual destruction.

 

Provide direction and training to department level staff regarding recordkeeping protocols and systems.

 

Research and stay informed on evolving regulatory standards and advise management on recommended or required changes in recordkeeping practices.

 

Compile monthly reports and charts representing departmental records management activity; provide input to GCM management.

 

Respond to inquiries from regulators, internal or external auditors regarding GCM's recordkeeping framework or requests for specific Records.

 

Evaluate, recommend and implement operational needs to meet organizational goals and objectives.

 

Provide Customer Service in all areas of records management including retention inquiries, records storage, and the Iron Mountain Connect system.

 

Develop and test department disaster recovery plan and contingency plan related to records management.

 

Qualifications:

 For immediate consideration, please apply directly to job #26471 at www.unionbank.com/careers.

 

 

Union Bank is committed to leveraging the diverse backgrounds, perspectives, and experiences of our workforce to create opportunities for our people and our business.  EOE. M/F/D/V.

 

About Union Bank:

Headquartered in San Francisco, UnionBanCal Corporation is a financial holding company with assets of $97 billion at March 31, 2013. Its primary subsidiary, Union Bank, N.A., is a full-service commercial bank providing an array of financial services to individuals, small businesses, middle-market companies, and major corporations. The bank operated 443 branches in California, Washington, Oregon, Texas, Illinois, and New York as well as two international offices, on March 31, 2013. UnionBanCal Corporation is a wholly-owned subsidiary of The Bank of Tokyo-Mitsubishi UFJ, Ltd., which is a subsidiary of Mitsubishi UFJ Financial Group, Inc. Union Bank is a proud member of the Mitsubishi UFJ Financial Group (MUFG, NYSE:MTU), one of the world's largest financial organizations. Visit www.unionbank.com for more information.

July 19, 2013 • Tags: , • Posted in: Financial

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