Controls & KYC SME

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

Controls & KYC SME


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 stakeholders


Main Responsibilities

Quality Assurance & Controls

  • Perform quality assurance checks on the post KYC production files
  • Monitor KRIs/KPIs, prepare reporting metrics and ensure any risks and/or issues are tracked through to completion
  • Ensure the quality of the tested samples are aligned with the internal and local/global AML / KYC requirements
  • Identify learning points from the quality assurance controls and feed into the training and knowledge management programme
  • Identify areas of weakness in the quality assurance / quality checking framework and implement corrective actions to ensure continuous enhancements
  • Work with peers to minimise rework and redundancy across CLIC KYC
  • Support Compliance or audit-related requests and involve in quality check client records prior to submission
  • Act as AML KYC subject matter expert and provide internal advisory to CLIC KYC and Business on any unclear operational guidance arisen from the procedures or policies
  • Transformation Programme
  • Collaborate with other teams and contribute to controls initiatives or transformation projects
  • Support continuous improvements across CLIC regionally




  • 5+ years relevant experience in an investment bank or international multi-cultural organisation
  • 3+ years relevant experience in working in client onboarding / KYC /AML or related field in an investment bank or capital market
  • Degree in a Science / Finance subject from an internationally recognised institution
Technical Skills

  • Risk and control mindset
  • Practical knowledge of AML and KYC regulations (e.g. US, FCA, HKMA & MAS)
  • Confident in presenting and communicating to people at all levels and from different teams
  • Strong analytical skills
  • 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

  • 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

  • (Optional) CAMS Certified or equivalent