Client Referential & Regulatory Data Lead

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Societe Generale
  • 19 Jun 18 2018-06-19

Client Referential & Regulatory Data Lead


Societe Generale is one of the leading financial services groups in Europe. Based on a diversified and integrated banking model, the Group combines financial solidity and a strategy of sustainable growth.

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 and Client 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 stakeholder s


Major Responsibilities

  • Manage client data and non-AML regulatory control driven processes of varying sizes and complexities
  • Work with peers to minimise rework and redundancy across CLIC/RRD initiatives
  • Develop the operational readiness plan and oversee the transition of any new or changing regulation impacting client data or client life cycle from change to run mode
  • Perform risk assessments and work with impacted stakeholders to develop risk mitigation plans
  • Communicate with management on status, milestones and RAIDs and escalate in a proactive and timely manner
  • Oversee the monthly post-onboarding quality assurance checks on the non-AML regulatory data
  • Ensure the quality of the tested samples are aligned with the internal policies and procedures
  • Identify learning points from the quality assurance controls and feed into the training and knowledge management programme for CLIC and Business
  • Support continuous improvements across CLIC regionally
  • Collaborate with other teams and contribute to controls initiatives or transformation projects


  • 8+ years relevant experience in an investment bank or international multi-cultural organisation
  • 5+ years relevant experience in working in client onboarding / KYC / reference data related transformation programme from Operations, Change or Management Consultancy
  • Degree in a Science/Finance subject from an internationally recognised institution
  • Experience in managing geographically distributed and culturally diverse work-groups
  • Experience in transformation projects / change initiatives



Technical Skills

  • Risk and control mindset
  • Confident in presenting and communicating to people at all levels and from different teams
  • Strong analytical skills through structured business analysis and project management methodology (such as PMP)
  • Adept MS Excel, PowerPoint and Word skills including but not limited to
  • Using formulas for data manipulation and analysis
  • Using MS built-in functions for presentation
  • Knowledge of client and/or instrument reference data
  • Knowledge of non-regulatory (e.g. Hong Kong Professional Investor, Legal Entity Identifier) and/or tax (e.g. FATCA, CRS, 871m) regulations
  • 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