Records ManagementJob Level: Vice President Job Function: Data Design Location: Charlotte, NC, US, 28202 Employment Type: Full TimeSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries.SMBC Americas Division is seeking a Senior Records Management Compliance Lead to join our growing Records Management team.
This critical role serves as the strategic bridge between our Records Management organization, Technology teams, and Business stakeholders during a transformational period as we modernize our records management program and implement our primary archive platform. This position is essential to sustaining and scaling our records management framework beyond the initial 13-application pilot to our broader portfolio of 130+ critical applications and 1700+ total application portfolio. The successful candidate will play a pivotal role in driving adoption, ensuring compliance, and building relationships across all organizational levels while supporting the implementation of automated data lifecycle management processes.Role ObjectivesTechnical Implementation Support Collaborate with technical teams on enterprise archive platform implementation and configurationSupport the development of automated policy creation and assignment processes within existing retention management toolsHelp design and implement dashboarding and KPI tracking systems to measure compliance and program effectivenessSupport the configuration of enterprise records applications and governance tracking systemsCompliance & Risk Management Interpret regulatory requirements and translate them into practical, implementable technical and business processesDistinguish between regulatory record retention requirements and business data retention needsSupport legal hold processes and ensure proper coordination with Legal Department requirementsHelp establish and maintain records management controls that can be documented, measured, and auditedAssist in the development of exception handling processes and escalation proceduresProgram Sustainment & Knowledge Management Create and maintain documentation of processes, procedures, and best practicesDevelop training materials and conduct knowledge transfer sessions for business and technical teamsSupport the creation of job aids and reference materials for Records Management CoordinatorsHelp establish a center of excellence approach to records management that reduces dependency on external consulting supportContribute to the maturation of SMBC's records management programRequired QualificationsQualifications and Skills Experience7+ years of experience in records management, information governance, or related field within financial services industry5+ years of experience working at the intersection of business, technology, and compliance teamsDemonstrated experience implementing enterprise content management or archiving solutions (A360, Smarsh, Documentum, OpenText, FileNet, SharePoint, or similar platforms)Experience with records management frameworks, retention scheduling, and regulatory compliance in banking environmentProven track record of successfully managing stakeholder relationships across multiple organizational levels and functionsTechnical SkillsStrong understanding of data lifecycle management principles and practicesExperience with enterprise archiving platforms (specific platform experience preferred, but not required)Familiarity with retention management tools and automated policy enforcement systemsUnderstanding of API integration, system onboarding processes, and enterprise architecture principlesKnowledge of enterprise service management platforms preferredProficiency in Microsoft Office Suite (PowerPoint, Word, Excel) for documentation and presentation developmentRegulatory & Compliance KnowledgeDeep understanding of banking regulatory requirements related to record retention (FINRA, SEC, OCC, FDIC, etc.)Knowledge of legal hold processes and litigation support requirementsUnderstanding of data privacy regulations and their intersection with records managementExperience interpreting regulatory guidance and translating into operational proceduresCore CompetenciesExcellent communication and interpersonal skills with ability to influence without direct authorityStrong analytical and problem-solving capabilitiesAbility to manage multiple competing priorities and stakeholder demandsChange management experience with ability to drive adoption of new processes and technologiesProject management skills with experience managing cross-functional initiativesSMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office.
SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at