DIANE ELLIS
18 SANDAL LANE
WILLINGBORO, NJ 08046
RESIDENCE # (609) 871-9703 / MOBILE # (732) 319-0279
QUALIFICATIONS:
Sixteen years of extensive records management experience in creating and/or maintaining the authenticity of Record Retention Schedules, by researching and interpreting statutes, as well as creating findings and recommendations' reports.
Strong problem-solving, analytical, and researching skills, detail oriented, result-driven, and dependable.
EDUCATION:
Member of the ARMA and AIIM Records Management Organizations
Merrill Lynch Internal Courses (Effective Writing, Effective Presentation,
Time Management, Project Management, Conflicts and Resolutions/Resistance
Microsoft Office)
PROFESSIONAL EXPERIENCE:
Merrill Lynch (ML) - Global Records Management Department - Hopewell, NJ
Records Management Analyst/Assistant Vice President – December 2004 – July 2009
Full-Time: 35 hours per week
Actively participated in all aspects of the strategic plans and execution of the Records Management Program, that related to the creation, maintenance, retention, and disposition of records. Provided advisory service and guidance associated with recordkeeping/retention requirements in accordance with applicable industry laws and regulations, Firm policies, and procedures to all domestic and international personnel.
· Maintained Record Retention Schedules by the continual research and interpretation of statutes, for all record series that composed the Schedules which ensured compliance with all applicable regulatory agencies such as the Securities Exchange Commission, Financial Industry Regulatory Authority, Occupational Safety & Health Administration, Internal Revenue Service, State Codes, etc..
· Modified and enhanced a global policy manual, for domestic and international offices, that consisted of the proper disposal of confidential and non-public records, stored on paper or electronically, to include storage equipment, other than office computers, such as remote access computers, laptops, blackberries, and external hard drives, in accordance with all applicable regulatory authorities and destruction guidelines. Enhancements to the policy manual also included specific requirements for locked consoles/bins that ensured safety while transporting records for destruction, as well as the requirement to obtain detailed destruction certificates.
· Maintained relationships with business units as well as with the Office of General Counsel, related to records inventory management and high level records retention, which ensured compliance as well as eliminated and/or prevented redundancies. Responded to verbal and written inquiries daily, that were associated with the creation, maintenance, retention, as well as the disposition of records, in accordance with Firm polices and guidelines.
· Trained co-workers on the components of the Record Retention Schedules as well as the various regulatory research techniques utilized, in an effort to educate them on the intricacies of the Schedules, which better assisted them when approached by branch office personnel with record retention and/or disposition inquiries.
DIANE ELLIS – PAGE 2
· Created test scripts and participated in the vendor selection processes for a mainframe replacement technology initiative related to the electronic vital records for the Firm, as well as the PSS Atlas System, which was primarily utilized by the Office of General Counsel as the litigation and regulatory hold notification system. Gathered and compiled relative data and produced applicable records management related test scripts for the proof of concept demonstrations.
Provided superior service to internal domestic and international business clients related to all archival services as well as liaised with the archiving vendor Account Management Team to resolve, elevate, and/or enhance archiving services.
· Conducted contract reviews, from approximately 20 unapproved storage vendors such as public storage companies, to interpret and analyze contractual service level provisions, and provided recommendations for permanent withdrawals of boxes due to non-compliant and risk concerns.
· Facilitated day to day archiving services for internal domestic business clients, and collaborated with the archiving vendor Account Management Team to resolve services issues, enhance archiving services, as well as collaborated on all special projects. Created a user-friendly archiving training manual that included five chapters on the fundamentals of archiving such as shipping, retrieving, account maintenance, as well as a disposition chapter which included a record code methodology applied to all archived boxes that systematically provided destruction eligibility reports.
· Heavily involved with all special archiving projects such as the systematic capture of essential information related to the requirement of mandated data entry fields and record codes that resulted in accurate descriptions of boxed records. Incorporated and implemented enhanced control mechanisms associated with the access to archival records that minimized risks and exposure to the Firm. Conducted system tests that ensured the success of a comprehensive archive training program, prior to rollout.
· Influenced resistant business areas on the utilization of a self-directed archival system that improved the archiving process by mandating on-line data entry and required data fields, the elimination of paper transmittals to prevent missing and/or vague box descriptions that systematically calculated destruction eligibility reports.
· Heavily involved in the resolutions of erroneous and unpaid archiving invoices as well as developed an electronic invoice payment reconciliation methodology that would streamline the billing and invoice process for hardcopy and data protection accounts.
Nominated as the Hopewell, NJ Global Records Management Department Business Continuity Management Manager and actively participated in the planning, testing, and evaluation of business continuity plans for the department.
· Assisted in the development and implementation of Business Continuity Plans for the Global Records Management Department, located in Hopewell, NJ. Initiated and developed a customized business continuity package to include floor plans, emergency response cards, as well as a handbook on preparing for natural disasters for the department.
· As the Hopewell, NJ-Global Records Management Business Continuity Manager, continually conducted off-site remote access and emergency call notification tests with successful results, that ensured compliance in accordance with business continuity Financial Industry Regulatory Authority (FINRA) Rules 446 and 3510.
Managed Vendors that provided mail, copy, and duplicating services for the Princeton and Hopewell, New Jersey locations, that ensured quality service levels, in accordance with service level agreements.
· Managed the day-to-day functions of three on-site copy centers, and fleet equipment that consisted of approximately 200 copiers for the New Jersey locations, by continually right sizing copy equipment. Submitted recommendations for new, leased equipment as well as the removal of non-utilized copy equipment that enforced quality service levels in accordance with the contractual terms. Identified and recommended the removal of several non-utilized copiers, which as a result, a savings of approximately $10,000 was realized.
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· Managed four copy vendors and met with personnel, when applicable, to troubleshoot as well as ensured copier service levels continually met contractual agreements.
Records Management Department - Jersey City, NJ
Records Management Administrator/Assistant Vice President – January 1993 – December 2004
Full-Time: 35 hours per week
Conducted detailed record inventories and comprehensive analyses for the identification of vital records as well as business unit record retention schedules that ensured compliance with all applicable regulatory agencies. As a result of recommendations that included the elimination of redundant reports, a total cost savings of $2.5mil and a cost avoidance of 50% file cabinet space reductions/reallocations were realized.
· Conducted record retention inventories/on-site observations for the development of record retention schedules that ensured the Firm's compliance with all applicable regulatory agencies. Compiled and analyzed the record retention data and produced findings and recommendations reports that ensured Firm guidelines as well as hard/soft dollar savings initiatives such as the elimination of redundant paper and fiche reports, aged boxes, office space, as well as risk assessment initiatives related to record protection. (In 1993, Diane was trained by the respectable Records Management Consultants, Cohasset Associates, Inc., to conduct record inventories/on-site observations utilizing voice recorders, transcribing notes, and analyzing data, to create Business Unit Record Retention Schedules as well as Findings and Recommendations Reports.)
· Conducted follow-up and facilitated meetings that ensured the adherence of Record Retention Schedules as well as recommendations for hard/soft dollar savings were obtained.
· Trained and instructed new records management administrators as well as branch office personnel on record retention and protection. Heavily involved and relied upon to critique records management administrators’ findings and recommendations reports, as well as their assessment techniques on data compilation and reports.
Retirement Plan Operations Department - Somerset, NJ
Centralized Library Unit/Document Control Processing Supervisor – July 1986 – December 1992
Full-Time: 35 hours per week
Implemented and maintained the establishment of a Centralized Research Area that was responsible for retirement account updates, receipt, filing, and storing of departmental files, as well as the retrieval, archival and disposition of boxes, within standard time frames.
· Supervised a clerical staff of 10 which included but not limited to the daily monitoring, delegating, and motivating as well as conducted employee performance appraisals.
· Supervised the completion of all daily branch office requests for customer account changes to IRA, Keogh, and SEP retirement accounts within standard time frames.
· Monitored the accuracy and integrity of microfilmed retirement plan documents as well as managed the retrievals.
· Managed the receipt, filing, and maintenance of documents and research materials stored on all media such as paper, microfiche, and microfilm, within standard time frames.
· Shipped, retrieved, and disposed of department files and research materials in accordance with the Record Retention Schedules and destruction guidelines.
· Completed daily word processing requests from approximately ten Retirement Plan Business Units, within standard time frames.
· Managed ten word processing stations and printers as well as conducted daily system maintenance.