Client Documentation Officer, Analyst

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Société Générale - UK
  • 13 Jan 18 2018-01-13

Client Documentation Officer, Analyst

People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you know our names, and we know yours. It's personable, human, and inspires success through passion. By encouraging open mindedness and a willingness to share ideas, we have adapted to market changes and thrived through innovation. Bringing words like “hard work” and “dedication” together with “community” and “respect” has enabled us to work collaboratively and build our future together. We call this Team Spirit and it's what makes us different. It's what makes you different.

Description of the Business Line or Department

The Operations Department (OPER) handles the middle and back office functions for all GBIS business lines (Markets, Financing) and International Private Banking.
OPER implements all necessary means to ensure the operational, administrative and financial processing market and credit operations initiated by business lines.
In addition, OPER ensures the control and security of transaction processing in accordance with current financial legislations.

• The execution of all operations performed by FO
• The first level of control on operations and "quality" certification
Customer Relationship Management on Post Trade: Relationship with customers, KYC, any support during the life of the transactions
Management of repositories
• The steering regulatory evolution projects.
• The control of external service providers

• OPER/CLM Offer services to business lines to facilitate all the processes required in a new relationship (definition of the customer profile, the documentary collection).
• The OPER/CLM Realize the preliminary audit (due diligence) of the regulated funds and manage the integration of the customers on the electronic platforms.
• OPER/CLM Coordinate the contributors of the OnBoarding chain and monitor the performance.
• Responsible for the quality of the referential data.
Summary of the Key Purposes of the Role
More specifically the On Boarding Pilot & Outreach teams are in charge of the:
• Coordination and monitoring of the E2E Performance for OB and leading improvements actions
• Taking ownership of the client relationship, being the external clients' privileged point of contact for the whole duration of the OB Process, either from A to Z (for Legal process) or as escalation (for KYC flow activities)
• Steer & communicate on the chain performance to senior management
• Collect all required documents & information from external clients during OB or review processes upon Front delegation. As a priority the team will start focusing on periodic reviews.

The OBP department is global, with teams in Europe, in the US, in HK and India.

The Document Collection Officer working within the framework above, globally assists the front-office / coverage bankers. He/she is in particular in charge of following missions:

• Handle the client requests
• Liaise directly with key Asset Manager contacts to obtain required information/documentation (*) where needed
• Launch On Boarding Request initiation in SG systems as soon as a client requests the on-boarding
• Provide client visibility on the on boarding status and expected deadlines
• Proactively monitor the KYC process from start-to-finish, identify and resolve issues raised
• Coordinate the Legal or Credit Processes for LTA On Boardings
• Coordinate proactively in or out of OPER (including SALES, PCRU, MO, BO...)

Summary of Responsibilities

1/ Prepare and maintain key information for his/her client portfolio, globally support the front-office bankers he/she is particularly working with :

• Prepare & maintain key information :
- contacts : Front Office owner and clients' contacts (for KYC or more broadly for any required information)
- client legal & commercial structure, and involved elementary entities to be reviewed during the year with KYC analysts, Front Office and strategic external clients
- enrich client ID card (client snapshot)
• Confirm with the Front-Office owner / banker the sourcing strategy for the documents (retrieve the document on the right level of the client/grouping)
• Confirm business activity (current & envisaged) with the involved Front-Office
• Confirm and validate off boarding population with the Front-Office and KYC
• Trigger the centralized factory for public documents, and control that only the remaining required documents are to be asked to the clients. Globally ensure that all missing requirements/documents are accurate before contacting the client (ensure exhaustiveness of retrieved documents).
• Globally control data quality (at on boarding or for maintenance).

2/ Collect the documentation from the clients :

• Collect all private documents & data from clients
• Explain rationale to clients in case of push back and manage client calls if needed
• Control/Certify that client documents are meeting requirements and propose alternative documents in case of push back
• Store client documents and enrich rules in Document repository
• Hold client visits in order to facilitate the reception of documents whenever needed
Act as “Case Leader” with an end to end responsibility :
• Coordinate the “case” (new account to on board or existing client to reviews) & provide transparency to the Front-Office
• Manage interactions with other regions to collect documents for different jurisdictions
• Dispatch/transfer the case to relevant KYC analyst
• Obtain FO sign off to validate the KYC
• Escalate blocking or complex case to stakeholders with expected action plan and follow up. If necessary call for relevant decision committees to make arbitration.

This role is a newly created one and is instrumental in improving the overall efficiency of the reviews (as a priority) and on boarding of clients.

Level of Autonomy and Authority

Medium to High



Main technical competencies required:

• Understanding of the specific stakes of each business lines (MARK, GLFI, CORI, SGSS, etc…) regarding business development and thus the particular needs related to on-boarding & customer data management
• Good Knowledge/ Expertise of business processes: KYC, contracts types, regulatory controls (Tax, Mifid, EMIR, DFA…)

Soft skills required:

• Client centric / ability to communicate at all levels including Client / Ability to place client's interest at the heart of actions.
• Stake Holder Management & proactive communication are essential.
• Cooperation, ability to work with multiples stakeholders of different levels/backgrounds and from various business units.
• Results driven individual and solution orientated.
• Intellectual rigor regarding the follow up of priorities and files (Pro-active & conscientious)
• Negotiation skills
• Microsoft fluency ( Advanced levels and advantage)


• Good solid education essential.
• Degree educated prefereable.
• KYC/CDD professional exams a strong advantage


• Fluent in English essential.
• Second language an advantage (French, German, Spanish, Italian.