Friday, December 4, 2020

Document Management Officer, AD5. ESMA, Paris. Open until 06 December 2020





REF.: ESMA/2020/VAC13/AD5

Type of contract Temporary Agent1

Function group and grade AD5

Duration of contract 5 years, with possibility of extension2

Department(s) Resources Department

Place of employment Paris, France

Deadline for applications 06/12/2020 (23:59 hrs, Paris local time)

Reserve list valid until 31/12/2021


1. The Authority

ESMA is an independent EU Authority that was established on 1 January 2011. ESMA’s mission

is to enhance investors’ protection and promote stable and orderly financial markets. This

mission is derived from ESMA’s founding Regulation3 and encompasses three objectives:

• Investor protection: to have the needs of financial consumers better served and to

reinforce their rights as investors while acknowledging their responsibilities;

• Orderly markets: to promote the integrity, transparency, efficiency, and well-functioning

of financial markets and robust market infrastructures, and

• Financial stability: to strengthen the financial system in order to be capable of

withstanding shocks and the unravelling of financial imbalances while fostering economic


ESMA achieves these objectives through four activities4:

• assessing risks to investors, markets and financial stability;

• completing a single rulebook for EU financial markets;

• promoting supervisory convergence; and

• directly supervising specific financial entities.

ESMA achieves its mission within the European System of Financial Supervision (ESFS)

through active co-operation with National Competent Authorities (in particular with securities

market regulators) as well as with the European Banking Authority (EBA) and the European

Insurance and Occupational Pensions Authority (EIOPA). ESMA has a unique position within the

ESFS as it focuses on the securities and financial markets dimension and the overarching

European aspects of these objectives.

For further information, please refer to ESMA’s website:


2. Job framework and profile

The Resources Department is responsible for the Authority’s resources and support functions.

The Department is structured in four Units:

• Corporate Services (CPS) Unit - responsible for the smooth running of the facilities of

the Authority and the acquisition of goods and services, in accordance with the EU public

procurement rules and procedures, and for supporting the coordination within the

Resources Department, in particular in terms of planning, reporting, document

management and communication. It ensures also the health, safety and security of

ESMA staff and visitors;

• Information & Communication Technology (ICT) Unit - preparing and implementing

ESMA’s IT strategic programme, as well as ensuring the implementation and

maintenance of the IT systems and networks of the Authority;

• Human Resources (HRM) Unit - supporting ESMA and its staff in all matters related to

recruitment, payroll, individual rights and career development, in accordance with the EU

Staff Regulations and implementing rules; and

• Finance & Procurement (FIP) Unit - preparing and implementing the budget and

procurement plan, and ensuring that budgetary transactions are run in a sound manner

and in respect of existing EU rules and procedures.


Main duties:

ESMA is organising the selection procedure to recruit a suitable candidate for the position of

Document Management Officer.

Reporting to the Head of Corporate Services Unit, the jobholder will work with the overall objective of supporting the institutional information and knowledge management governance. He/she will constitute a centralised function for establishing and maintaining sound and consistent document management and records retention practices. He/she will define data handling policies and procedures and will monitor their implementation at every step of the entire data lifecycle management process5 to maximize its useful value.

Moreover, he/she will be in charge of ensuring that ESMA´s legal, regulatory and information security compliance requirements are applied to ESMA´s data assets. He/she will provide day to-day guidance to end-users, collaborate with information technology specialists and assist

ESMA business areas in determining document management requirements, tools and facilitate efficient, legal, and secure use of document and records management systems.


The jobholder will be responsible for the following duties:

• define an information governance framework based on the existing data, documents and

document management technologies (systems of engagement and systems of records),

which leverages compliance with ESMA’s business requirements, information security

and personal data protection requirements;

• contribute to the development and maintenance of policies and procedures for the

ESMA’s document management and records retention;

• develop and maintain an inventory of data assets (including the discovery, identification,

categorization, criticality and security classification of documents);

• define a detailed document retention and archiving strategy, policy and standard aligned

with the business continuity procedure;

• contribute to the implementation of electronic document processing, retrieval, and distribution systems in collaboration with other information technology specialists;

• define and document organisational wide workflow procedures to meet all steps of the

data lifecycle process: collection/creation, access, usage, storage, share/transfer, archive

and destruction of document data assets;

• contribute to the development or configuration of document management system features, such as user interfaces, access profiles, access controls, document categorization classification and labelling;

• assess the current electronic document management system and establish its

compliance with ESMA’s policy and propose remedial actions if necessary;

• develop and maintain a reporting scorecard that measures and tracks the levels of compliance at ESMA;

• assist in the risk assessment and protection of ESMA´s data assets to comply with the

ESMA´s security policies and procedures;

• assist the ESMA staff and business areas in the implementation of policies and procedures in the above-mentioned domains;

• assist the Information Security Officer to implement data protection initiatives, during regular internal compliance checks, audits and investigations;

• contribute to the development of document and records management systems at ESMA;

• work together with other relevant support functions (e.g. ICT Unit) to establish and maintain effective electronic document and records management systems, as well as physical archiving services;

• provide advice, training and support to the ESMA business areas on all aspects of document management and retention;

• provide support to and train ESMA’s staff to increase the culture on Document Management and perform ad hoc training campaigns, surveys, newcomers inductions;

• provide access to archived information when requested and necessary;

• establish and maintain robust knowledge management practices (e.g. a physical/online

library, databases); and

• represent the ESMA and liaise on behalf of ESMA with comparable institutions in networks and information exchanges related to document management.


3. Professional qualifications and other requirements

A. Eligibility criteria

To be considered eligible, candidates must satisfy all the eligibility criteria listed below, by the

deadline for submitting applications:

• have at least a level of education which corresponds to completed university studies of

three years attested by a diploma6;

• be a national of a Member State of the European Union or the EEA (Norway,

Liechtenstein, Iceland);

• enjoy full rights as a citizen7;

• have fulfilled any obligations imposed by the applicable laws concerning military service;

• have a thorough knowledge of one of the languages of the European Union8 and a

satisfactory knowledge9 of another language of the European Union, and

• be physically fit to perform the duties linked to the post10


B. Selection criteria


Applications which fulfil the above Eligibility criteria (part A) will be assessed and scored against

the Essential requirements (part B.1). Candidates who do not meet all the Essential

requirements (part B.1) will be excluded from the selection process.

Candidates who meet all the Essential requirements (part B.1) will be scored against the

Advantageous requirements (part B.2).

Within this comparative evaluation of applications, the 12 best candidates (who obtain the

highest scores) will be invited first for the written test (1st part of the selection process).

Consequently, the candidates who reach a minimum score of 60% for the written test will be

invited for the interviews with the ESMA Selection Board (2nd part of the selection process).


B.1. Essential requirements

a) Minimum three (3) years’ work experience (acquired after the minimum qualification, as

required under part 3A) in a position related to the areas described under part 2 above;

b) Proven experience in document management projects as a subject matter expert (e.g.

scoping the definition, experience in implementation of data handling frameworks);

c) Proven experience in data and document management technologies (Microsoft based);

d) Proven experience in drafting and delivering policies, procedures and technical standards

in the area of document management; and

e) Excellent written and oral English11


B.2. Advantageous requirements

f) Certifications and/or professional training relevant to the profile;

g) Proven experience in drafting document management policies, procedures and guidelines at EU and/or national level (including but not limited to document discovery, categorisation, labelling, access controls, document registration, filing, retention, archiving, etc.);

h) Experience in data protection, data classification, and data leakage prevention projects;

i) Experience in multicultural environments; and

j) Motivation for the advertised position.



Candidates invited for interviews and written tests will be assessed against all selection criteria

(parts B1 & B2 & B3).

B.3. Supplementary requirements

i) Ability to tackle complex issues, as well as presenting the results of his/her work in a

structured manner to an audience in a clear and understandable way;

j) Ability to deliver high-quality work under pressure and tight deadlines; and

k) Strong interpersonal skills and ability to interact with multiple internal and external stakeholders.

The candidates who receive at least 60% of the maximum points in both the interviews and

written test will be included in the reserve list of suitable candidates.

The established reserve list may be used for the recruitment of a similar post depending on the

needs of ESMA. Please note that inclusion in the reserve list does not guarantee recruitment.


4. How to apply

You must submit your application through e-Recruitment. ESMA does not accept applications

submitted by any other means.

All sections of the application must be completed in English. In order to be considered,

applications must be received by 23:59:59 CET on the closing date. We advise you to submit

your application well ahead of the deadline, in order to avoid potential problems due to heavy

traffic on the website.

Please consult the Candidates Guidelines for instructions on completing your application.

Following the submission of the application candidates will receive an automatic email

acknowledging receipt of the application.

Please note that all correspondence will take place by email, so candidates should ensure that

the email address associated with applicant’s account is correct and that it is checked regularly.

Applicants will be assessed on the basis of the eligibility and selection criteria specified in the

vacancy notice (as explained in part 3) and these must be met by the deadline for submitting



5. Summary of conditions of employment

• Successful external candidates may be offered an employment contract for five years as a temporary agent. Any further renewal shall be in principle for an indefinite duration.

• Successful external candidates will be recruited in the grade and classified in step 2.


Minimum requirements for classification in step12 (required level of university studies + minimum number of years of experience after university graduation)

Monthly net salary without allowances 13

Monthly net salary, including specific/family allowances14

AD5 step 2

3 years’ university degree + 3 years’ experience

4,730 €

6,800 €


• The monthly basic salary is multiplied by the correction coefficient for France (currently


• Salaries are subject to a Union tax deducted at source and are exempt from national


• Depending on the individual family situation and the place of origin, the successful

jobholder may be entitled to: expatriation allowance (16% of the basic salary), household

allowance, dependent child allowance, education allowance, pre-school allowance,

installation allowance, reimbursement of removal costs, initial temporary daily

subsistence allowance, and other benefits.

• Annual leave entitlement of two days per calendar month plus additional days for age,

grade, 2.5 days home leave if applicable, and in addition on average 17 ESMA holidays

per year;

• EU Pension Scheme (after 10 years of service);

• EU Joint Sickness and Insurance Scheme (JSIS), accident and occupational disease

coverage, unemployment and invalidity allowance and insurance, and

• General and applicable professional training, plus professional development



6. Data protection

Candidates’ personal data are processed as required by the Regulation (EU) No 2018/1725 of

the European Parliament and of the Council of 23 October 2018 on the protection of natural

persons with regard to the processing of personal data by the Union institutions, bodies, offices

and agencies and on the free movement of such data.15 This applies in particular to the

confidentiality and security of such data. For more information, please check the privacy

statement on recruitment procedures.

ESMA will take all necessary measures to ensure the confidentiality of the procedure, however it

cannot be ruled out that candidates see one another on the day of the interview or written test.


1 According to the Article 2(f) of the Conditions of Employment of Other Servants (CEOS) of the European Union.

2 Temporary agents may be engaged under their first contract for a fixed period of 5 years. Any further renewal shall be in principle for an indefinite duration. Probationary period for the first contract is nine months.

3 Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC.


5 Data lifecycle process includes: the collection/creation, access, usage, storage, share/transfer, archive and destruction of data assets at ESMA.

6 Only qualifications that have been awarded in EU Member States or that are subject to the equivalence certificates issued by the authorities in the said EU Member States shall be taken into consideration.

7 Prior to the appointment, the successful candidate will be asked to provide a police certificate confirming the absence of any criminal record.

8 The languages of the EU are: Bulgarian, Croatian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek,

Hungarian, Irish, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish, and Swedish.

9 At least at the level B2, according to the Common European Framework of Reference for Languages:

Knowledge of the 2nd EU language will be tested orally for candidates invited for interviews.

10 Before the appointment, the successful candidate shall be examined by ESMA`s medical centre in order to confirm that the candidate fulfils the requirements of Article 12(2) (d) of the CEOS (physical fitness to perform the duties).

11 At least at B2 level. English is the internal working language of ESMA, as decided by ESMA Management Board with the decision ESMA/2011/MB/3 of11/01/2011. This decision implements Article 73 (2) of the ESMA Regulation (EU) No 1095/2010 establishing ESMA.

12 ESMA Management Board Decision ESMA-2014-MB-14, adopting of general implementing provisions concerning the criteria applicable to classification in step on appointment or engagement - Commission decision (C(2013) 8970 of 16/12/2013):

13 An estimation of net salary, including the correction coefficient for France, deduction for tax and social security, without any allowances (this estimation has been calculated for a candidate who is not entitled for expatriation allowance in France and has no family).

14 An estimation of net salary, including the correction coefficient for France, deduction for tax and social security and adding the allowances (this estimation has been calculated with expatriation allowance, household allowance and with one dependent child allowance). Allowances depend in any case on the personal situation of the candidate.

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