Regulatory Analyst - Records Management

PINNACLE GROUP (Pinnacle Technical Resources); Charlotte, Northern (NC, KY); Hybrid; USD 76,000 - 83,000; Full time

Job summary

PTR Global in the Charlotte area seeks a Regulatory Analyst - Records Management within a banking/regulatory context. This contingent Business Execution Consultant 4 role focuses on records management, lifecycle governance, and cross‑functional change across business, technology, data, and governance teams.

You will drive retention and regulatory obligations, review complex challenges, and partner with stakeholders to deliver compliant records programs in a hybrid on-site/remote environment.

Qualifications

• 5 years of Business Execution, Implementation, or Strategic Planning experience.
• Experience in regulatory records management and information lifecycle management within banking, capital markets, broker‑dealer, or broader financial services compliance environments.
• Ability to prioritize projects and manage multiple workstreams simultaneously.
• Background in governance and regulatory frameworks, including regulatory change management and regulatory record‑keeping obligations.
• Understanding of trade lifecycle processes, financial markets workflows, and regulatory obligations.

Responsibilities

• Consult on complex business execution initiatives with broad impact and large-scale planning requirements.
• Review and analyze complex, multi-faceted, larger-scale or longer-term business execution challenges, including those involving intangibles or unprecedented factors.
• Contribute to the resolution of complex situations by applying a solid understanding of functional policies, procedures, and compliance requirements.
• Strategically collaborate and consult with client personnel and key stakeholders across business, technology, data, and governance teams.
• Drive regulatory records and record‑keeping initiatives to support compliance with records retention and regulatory record‑keeping obligations.
• Perform records identification and classification activities, including applying retention schedules and record‑keeping requirements.
• Manage and support data remediation workstreams related to records and information lifecycle management.
• Coordinate the movement of data and records into appropriate retention repositories and technology‑enabled record‑keeping environments.
• Support technology migration initiatives through records governance, classification, and data management activities.
• Partner with business stakeholders and technology teams to implement change and drive outcomes across multiple stakeholder groups.
• Manage projects and workstreams with multiple stakeholders, ensuring timelines, deliverables, and regulatory expectations are met.
• Facilitate discussions with business partners to clarify requirements, resolve issues, and align on priorities.
• Leverage understanding of financial markets workflows, trade generation, and trade lifecycle events to align records and regulatory obligations.
• Work with structured data applications, data repositories, and technology platforms that support record‑keeping and information lifecycle management.
• Demonstrate strong collaboration and business-facing skills, with the ability to influence, effect, and implement change.

Skills

Regulatory compliance

Project management

Stakeholder collaboration

Records management

Data governance

Business analysis

Education

Series 99 license desirable

Job description

Regulatory Analyst - Records Management
IT | Business Analyst Charlotte , North Carolina Contract Oct 8, 2026

Position: Business Execution Consultant 4 - Contingent
Location: Charlotte, North Carolina
Hybrid role: Ability to work 3 days onsite and 2 days remote in Charlotte, North Carolina.
Pay Range: $55- $60/ hour on W2
Duration: Contract
Job ID: 180432

Job Overview:
In this contingent Business Execution Consultant 4 role, you will consult on complex, large-scale business execution initiatives within a banking and financial services environment, with a strong focus on regulatory records management and information lifecycle management. You will review and analyze multi-faceted, longer-term business execution challenges, drive initiatives to ensure compliance with records retention and regulatory recordkeeping requirements, and partner closely with business, technology, data, and governance teams. This hybrid position requires a blend of strategic planning, project management, regulatory and compliance expertise, and strong collaboration skills to effectively implement change across stakeholder groups.

• Consult on complex business execution initiatives with broad impact and large-scale planning requirements.
• Review and analyze complex, multi-faceted, larger-scale or longer-term business execution challenges, including those involving intangibles or unprecedented factors.
• Contribute to the resolution of complex situations by applying a solid understanding of functional policies, procedures, and compliance requirements.
• Strategically collaborate and consult with client personnel and key stakeholders across business, technology, data, and governance teams.
• Drive regulatory records and recordkeeping initiatives to support compliance with records retention and regulatory recordkeeping obligations.
• Perform records identification and classification activities, including applying retention schedules and recordkeeping requirements.
• Manage and support data remediation workstreams related to records and information lifecycle management.
• Coordinate the movement of data and records into appropriate retention repositories and technology-enabled recordkeeping environments.
• Support technology migration initiatives through records governance, classification, and data management activities.
• Partner with business stakeholders and technology teams to implement change and drive outcomes across multiple stakeholder groups.
• Manage projects and workstreams with multiple stakeholders, ensuring timelines, deliverables, and regulatory expectations are met.
• Facilitate discussions with business partners to clarify requirements, resolve issues, and align on priorities.
• Leverage understanding of financial markets workflows, trade generation, and trade lifecycle events to align records and regulatory obligations.
• Work with structured data applications, data repositories, and technology platforms that support recordkeeping and information lifecycle management.
• Demonstrate strong collaboration and business-facing skills, with the ability to influence, effect, and implement change.

Position: Business Execution Consultant 4 - Contingent
Location: Charlotte, North Carolina
Hybrid role: Ability to work 3 days onsite and 2 days remote in Charlotte, North Carolina.
Pay Range: $55- $60/ hour on W2
Duration: Contract
Job ID: 180432

Job Overview:
In this contingent Business Execution Consultant 4 role, you will consult on complex, large-scale business execution initiatives within a banking and financial services environment, with a strong focus on regulatory records management and information lifecycle management. You will review and analyze multi-faceted, longer-term business execution challenges, drive initiatives to ensure compliance with records retention and regulatory recordkeeping requirements, and partner closely with business, technology, data, and governance teams. This hybrid position requires a blend of strategic planning, project management, regulatory and compliance expertise, and strong collaboration skills to effectively implement change across stakeholder groups.

• Consult on complex business execution initiatives with broad impact and large‑scale planning requirements.
• Review and analyze complex, multi‑faceted, larger‑scale or longer‑term business execution challenges, including those involving intangibles or unprecedented factors.
• Contribute to the resolution of complex situations by applying a solid understanding of functional policies, procedures, and compliance requirements.
• Strategically collaborate and consult with client personnel and key stakeholders across business, technology, data, and governance teams.
• Drive regulatory records and record‑keeping initiatives to support compliance with records retention and regulatory record‑keeping obligations.
• Perform records identification and classification activities, including applying retention schedules and record‑keeping requirements.
• Manage and support data remediation workstreams related to records and information lifecycle management.
• Coordinate the movement of data and records into appropriate retention repositories and technology‑enabled record‑keeping environments.
• Support technology migration initiatives through records governance, classification, and data management activities.
• Partner with business stakeholders and technology teams to implement change and drive outcomes across multiple stakeholder groups.
• Manage projects and workstreams with multiple stakeholders, ensuring timelines, deliverables, and regulatory expectations are met.
• Facilitate discussions with business partners to clarify requirements, resolve issues, and align on priorities.
• Leverage understanding of financial markets workflows, trade generation, and trade lifecycle events to align records and regulatory obligations.
• Work with structured data applications, data repositories, and technology platforms that support record‑keeping and information lifecycle management.
• Demonstrate strong collaboration and business-facing skills, with the ability to influence, effect, and implement change.

• 5 years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through work or consulting experience, training, military experience, or education.
• Experience in regulatory records management and information lifecycle management within banking, capital markets, broker‑dealer, or broader financial services compliance environments.
• Proven ability to prioritize projects and manage multiple workstreams simultaneously.
• Experience with change management and project management, including driving initiatives from planning through execution.
• Background in compliance and governance, including governance and regulatory frameworks.
• Experience with records compliance, records management, and records/information management practices.
• Familiarity with regulatory and compliance requirements, including regulatory change management and regulatory record‑keeping obligations.
• Understanding of trade lifecycle processes, financial markets workflows, trade generation, and associated records and regulatory obligations.
• Comfort working with structured data applications, data repositories, and technology‑enabled record‑keeping environments.
• Experience supporting or leading migration initiatives involving data and records movement into retention repositories or new platforms.
• Demonstrated ability to lead or contribute to records governance programs and records classification exercises.
• Strong self‑starter mindset with the ability to work independently and proactively drive outcomes.
• High attention to detail and strong project management discipline.
• Excellent collaboration and communication skills, with the ability to work directly with business partners and facilitate discussions.
• Proven ability to effect and implement change across stakeholder groups in a hybrid (onsite/remote) environment.
• Series 99 license desirable.
• Ability to work in a contract role with potential to convert to permanent, if applicable.

About PTR Global: PTR Global is a leading provider of information technology and workforce solutions. PTR Global has become one of the largest providers in its industry, with over 5000 professionals providing services across the U.S. and Canada. For more information visit www.ptrglobal.com

At PTR Global, we understand the importance of your privacy and security. We NEVER ASK job applicants to:

• Pay any fee to be considered for, submitted to, or selected for any opportunity.
• Purchase any product, service, or gift cards from us or for us as part of an application, interview, or selection process.
• Provide sensitive financial information such as credit card numbers or banking information. Successfully placed or hired candidates would only be asked for banking details after accepting an offer from us during our official onboarding processes as part of payroll setup.

The specific compensation for this position will be determined by several factors, including the scope, complexity, and location of the role, as well as the cost of labor in the market; the skills, education, training, credentials, and experience of the candidate; and other conditions of employment. Our full‑time consultants have access to benefits, including medical, dental, vision, and 401K contributions, as well as PTO, sick leave, and other benefits mandated by applicable state or localities where you reside or work.

If you receive a suspicious message, email, or phone call claiming to be from PTR Global do not respond or click on any links. Instead, contact us directly at [phone]. To report any concerns, please email us at [e-mail]

During the hiring process, we may use artificial intelligence (AI) tools to assist in evaluating information related to your application. These tools may help analyze job‑related qualifications or assist recruiters in reviewing applications and interview responses. AI‑generated information is one factor considered in our hiring process. Final employment decisions are made by qualified hiring personnel and are not based solely on AI‑generated recommendations.

#LI-MT1