Job Description:
TD AMERITRADE is a leading organization that has provided brokerage and investment services for over 30 years. Listed in Forbes as one of America's best big companies1, the Company offers a full spectrum of investment services, including a leading active trader program, intuitive long-term investment solutions and a national branch system. Through our brokerage subsidiaries, we provide innovative, powerful online trading tools and services to individual investors.

Our associates are at the heart of what we do. We believe in teamwork, putting clients first, building strong relationships, achieving quality results and working with integrity.


Role:
The Senior Records Manager is a member of the Records Management Organization ('RMO'), and is responsible for developing, maintaining and auditing the TD AMERITRADE Holding Corporation Records & Information Management Program ('RIM'). In addition, the Senior Records Manager plays a key role in the cross-functional Legal Task Force, and assists members of the Legal and Compliance departments with responding to litigation and/or regulatory inquiries.

Responsibilities:
Develop, implement and manage the enterprise-wide RIM for all records, of all media types.
To include effective processes and procedures to identify, maintain, preserve and destroy information as required by law, regulation and business process.
Develop and maintain an electronically stored information data map.
Supervise an audit process to ensure records retention policies, procedures and schedules are current.
Manage a matrix of Records Managers located in each business unit.
Oversee training programs designed to educate associates and new hires on records policies and procedures.
Advocate the importance of compliance with the RIM at all levels within the organization, and create and maintain an internal website for the RMO.
Collaborate with the Security & Risk Management department to evaluate and recommend -technical solutions related to the RIM, and manage vendor relationships to ensure compliance with all policies.
Assist the Legal and Compliance departments with the execution of Legal Holds and related discovery functions.
Additionally, perform other duties as are from time to time assigned. Essential job functions may change.

Experience:
Requirements:
Must have hands-on, practical experience with all aspects of developing, implementing and managing RIM related policies and practices in a large corporation, preferably in a broker-dealer setting, but at a minimum in a the financial services industry.
Must have a demonstrated track record of exemplary RIM knowledge and technical skills, including knowledge of records management systems, electronic records handling, imaging, current best practices and emerging technologies.
At least 10 years records management experience.
Strong knowledge of records retention laws, rules and regulations, preferably SEC and FINRA rules and broker-dealer related laws and regulations.
Must be extremely well organized and have a strong attention to detail and problem solving skills.
Must possess excellent oral and written communication and interpersonal skills, with particular emphasis on experience writing policies and procedures.
Ability to communicate RIM processes clearly during litigation or regulatory proceedings, if necessary.
Must be able to deal effectively with individuals at all levels and across many business units, and work well with others in a team environment.
BS/BA degree from an accredited institution, preferably in the area of records management or a closely related topic.
Highly desirable: One or more records management certifications.

TD AMERITRADE is an Equal Opportunity Employer. We value diversity and offer a quality workplace.

1Forbes award information available at www.forbes.com/platinum. TD AMERITRADE, Inc., member FINRA/SIPC is a subsidiary of TD AMERITRADE Holding Corporation. TD AMERITRADE is a trademark jointly owned by TD AMERITRADE IP Company and The Toronto-Dominion Bank. Used with permission.