Head - Information Governance - UBS - Nashville

Job description
The Role represents a senior global position reporting into the Group General Counsel organization. The role holder is a member of senior management within the IT, Contracting and Shared Services Legal team.
The role holder will have three primary responsibilities for the firm's overall Records Management policy –
Operational
Advisory
Policing
Operational responsibility includes ownership of the firm's communication and application data archives. Advisory responsibility includes ownership of the firm’s Records Management strategy, the overall Records Management Policy, the Group Taxonomy and all educational and awareness efforts Associated with Records Management. Policing responsibility includes the creation and execution of a control framework to ensure the successful implementation of Records Management across the firm.
The role holder will also act as the UBS subject matter expert towards the outside and maintain regular contacts with peers, Legal and Compliance, Information Technology, and UBS’s various Information Governance and Records Management Organizations. The role holder will also provide appropriate updates to the Group General Counsel and/or related delegates with respect to approval and oversight of major initiatives.
The role will in particular include the following responsibilities:
Lead a small team of Records Management subject matter experts.
Own the firm's Records Management infrastructure systems, e.g. for email Journaling, Application Archiving repositories and Office Document Management and Archiving Systems.
Provide business requirements to IT solution managers to allow for the proper selection of Records Management technologies.
Establish the requirements for indexing, archiving, searching and retrieval across all archive solutions.
Establish and maintain processes to ensure data quality and integrity for all archive solutions. Systematically ensure appropriate access rights and entitlements to all archives.
Develop a defensible disposal strategy, business case, policy(ies), processes, and implementation plan for the firm, after its approval; oversee its implementation as a firm-wide program of work for the archives within your remit.
Own, develop and implement a Records Management governance model that addresses the needs of the firm, providing visibility into interdependencies of the firm’s goals with its information governance strategy, and deliver actionable insights for reducing costs, improving risk management, maximizing UBS’ legal position, appropriately managing regulatory events, and supporting “integrated bank” initiatives.
Oversee the development of Records Management principles, strategies, programs, policies, and operating models that align to, support, and facilitate the firm’s business, financial, legal, and regulatory objectives and obligations
Own and maintain the Group Records Management policy and its supplementary documents and the global Taxonomy. Monitor expiry dates of granted exceptions from the Records Management Policy and supervise remediation process.
Create and maintain education and awareness materials and processes to ensure appropriate levels of Records Management awareness are achieved.
Provide functional Records Management advice to Business Divisions and COO functions. Provide and ensure Group wide appliance of coherent Records Management standards and data lifecycle management.
Oversee governance of the firm’s Records Management initiatives to ensure the impacts of out-of-course events (preservation hold, legal matters / discovery, internal investigations, regulatory inquiries, etc.) are appropriately accounted for, systematically and appropriated handled, and fulfilled in line with information governance principles and best practices.
Create and maintain a control framework and associated Control Documentation and run periodic policy compliance certification process.
Establish the firm's risk appetite for Records Management policy compliance and perform an annual systematic risk assessment to determine if the appetite levels are within the acceptable bands.
Liaise closely with L&C Matter Management team and support e-discovery and legal hold operational issues and initiatives.
Support the development and implementation of the Legal / Discovery Operating Model and associated Legal tools, such as Early Data Assessment, Early Case Assessment, Preservation Management, and other processes that are part of or aligned to Discovery.
Represent UBS in the area of Information Governance and Records Management towards the outside world such as committees, regulators, working groups, and forums

Desired Skills and Experience
The individual should be an attorney with 7+ years' experience in Records Management, including a complete understanding and familiarity with applicable laws, regulations, policies, systems, technologies and processes.
The individual should have a complete understanding of records management technologies, including but not limited to indexing, archiving, WORM, searching and retrieval functionality.
The individual will have to quickly obtain a good understanding of the activities, processes and issues in relation to Information Governance on a group level and also in the Business Groups
The role will require someone who has the ability to learn, understand and apply the various rules, regulation and risk appetite at a local, regional and global level.
The ideal candidate will be someone who is eager to learn, can demonstrate judgment and decision making, but understands their limitations and when to escalate issues.

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