Client Referential & Regulator Data Senior Lead

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Societe Generale
  • 16 Jul 18 2018-07-16

Client Referential & Regulator Data Senior Lead


SG CIB is the Corporate and Investment Banking arm of the Société Générale Group. Present in over 50 countries across Europe, the Americas and Asia. SG CIB provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.

Client Life Cycle Intelligence & Care (CLIC) is part of the cross-business Client management division for Global Banking and Investor Solutions (GBIS). CLIC is responsible for the SGCIB's Onboarding, KYC andClient Reference and Regulatory processes. Its mission is to ensure a simple-track and distinctive client journey, both on clients' and on employees' side, with a continuous commitment all along our clients' lifecycle.

CLIC is responsible for the following roles:

  • Coordinators of client onboarding and outreach: facilitating client navigation in the organisation
  • Data stewards: ensuring clients are ready to trade and maintaining data quality
  • KYC, Tax & Investors protection regulation experts: fulfilling our regulatory obligation to protect Société Générale and our clients
  • Partners: assisting our collaborators throughout the organisation in making our relationship with our clients a unique experience
  • Keepers: establishing the normative framework between Société Générale and its clients
The Governance, Controls and Referential & Regulatory Data team is a pillar that supports the end-to end onboarding from an oversight perspective.

Key objectives include:

  • Develop a risk and control agenda
  • Implement and monitor appropriate KRIs and KPIs
  • Develop appropriate action plans and track to completion where KRIs are beyond tolerance
  • Perform quality assurance controls
  • Be the primary point of coordination for audit and regulatory inspections
  • Establish a Centre of Excellence for KYC and client referential & regulatory
  • Act as regional contact for changes in policies and procedures for AML / KYC and referential and regulatory data
  • Deliver trainings to CLIC KYC and business stakeholders


Roles and Responsibilities

Act as subject matter expert in client and regulatory data and partake in production or initiatives
related to client and regulatory data within the end to end client onboarding journey

• Analyse, organise and document changes by use of gap analysis, business requirements, impact analysis and process flows

• Determine the operational readiness and adoption plan by identifying the integration points, key users and understanding the target flows

• Identify quality issues related to client data and associated processes, determine the root cause, come up with a proposal to improve the controls and see it through to completion

• Oversee the offshore teams who manage the client data and ensure a robust framework is in
place by means of regular meetings and appropriate escalation

• Manage the offshore service level agreement and maintain an inventory

• Responsible for preparation, analysis and designing reporting metrics for presentation to
various levels of the management committee through data analysis of production data

• Proactive in communicating progress updates, issues, risks and escalating in a timely manner

• Involve in annual RSCA assessment and work with peers to complete the assessment by
coordinating with stakeholders, vetting and challenging the responses as required

• Collaborate with other teams regionally and globally and contribute to controls initiatives or
transformation projects outside of client data domain

• Perform and oversee quality assurance controls on the onboarding production files in accordance with the AML/KYC and non-AML/KYC regulatory framework



• 10+ years relevant experience in an investment bank or international multi-cultural organization

• 8+ years relevant experience in working in client onboarding/KYC or client data related controls
environment from Operations, Change or Management Consultancy

• Degree in a Science/Finance subject from an internationally recognized institution

• Experience in managing geographically distributed and culturally diverse work-groups

• Experience in transformation projects / change initiatives

Technical Skills

• Solid experience working in risks or controls environment

• Good understanding of the investment banking business, its products and activities

• Demonstrated experience in working on data initiatives through large-scale data migration,
integration and consumption

• Good rapport with stakeholders from business, operations, audit, compliance to legal

• Experience in working in regulatory or business driven initiatives within operations

• Practical knowledge of AML and KYC regulations (e.g. US, FCA, HKMA, MAS, EMIR, Dodd Frank)

• Advanced skills in using MS Office products (Word, PowerPoint & Excel)

• Solid skills in presenting and communicating KPIs/KRIs to stakeholders at all levels and from
different teams


• Strong team management, leadership and coaching skills

• Excellent oral and written communication skills

• Ability to work in a dynamic and high pressure environment

• Rigor, self-starter, pro-active and solution-oriented

• Ability to follow tight deadline, identify priorities and address difficult situations with autonomy

• Curiosity and critical sense

• Able to balance systematically benefits and risks, even those falling outside the scope of formal procedures

• Team player, promotes sharing of expertise and learning