CLM Governance and Regulatory Data Analyst

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Societe Generale
  • 19 Sep 17

CLM Governance and Regulatory Data Analyst


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.

Primary Objectives

The Controls and Regulatory Data team is part of the Client Lifecycle Management (CLM) Function within COO. CLM is responsible for the SGCIB's Onboarding, KYC and Client Referential & Regulatory processes. Its mission is to make onboarding quicker, simpler and more digital whilst ensuring the bank is fully compliant with its regulatory obligations on a worldwide basis thereby providing the institution with adequate and complete client information.

The CLM Controls and Regulatory Data team has transversal responsibilities across the department. 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 CLM and business stakeholders
The Senior Associate/VP role reports to the Regional Head CLM Controls and Regulatory Data in Hong Kong.

Main Responsibilities

Controls & Audits

  • Identify areas of weakness in the Controls and Quality Assurance framework and implement corrective actions to ensure continuous enhancement
  • Provide and / or coordinate responses on onboarding related regulatory matters arisen from audit/regulatory inspections
  • Oversee the client referential and regulatory aspects of the onboarding process and fine tune the framework as the model matures
  • Perform quality assurance controls on the production files. Monitor KRIs / KPIs and ensure any risks and/or issues are tracked through to completion
  • Identify knowledge gaps and deliver targeted trainings accordingly
Transformation Projects
  • Act as a contributor in or lead one or many transformation projects
  • Manage the project logs, documentation and manage any RAIDs impacting CLM
  • Challenge the status quo and develop initiatives that will help create a stronger control framework within CLM
Technical Skills

Required / Must have:
  • Solid experience working in Risks or Controls environment
  • Good understanding of the investment banking business, its products and activities
  • Demonstrated experience working with stakeholders from business to operations, audit, compliance and legal
  • Experience in working in regulatory or business driven initiatives within run-the-bank mode and has knowledge in process mapping, business analysis and project management
  • Experience in working with digitalized / IT solutions
Core Competencies
  • Balances systematically benefits and risks, even those falling outside the scope of formal procedures
  • Possesses strong interpersonal skills and can converse and influence people at all levels to achieve a common and positive outcome
  • Detailed oriented, excellent presentation and written skills
  • Self-starter / -motivator; ability to work and adapt in a dynamic and high pressure environment
  • Results-oriented, identify priorities and address difficult situations with autonomy
  • Promotes sharing of expertise and learning


Required / Must have:

  • 7+ years of working experience gained from financial institutions or consultancy firms
  • 3+ years of experience working in Risks, Controls or Regulatory / Compliance
  • Experience of working in an international, multi-cultural organization and is mindful of challenges when working with global time-zones
  • Good understanding of the Asia regulatory matters and its complexities
  • Ability to juggle competing priorities in a dynamic environment
  • Strong communication, analytical and project management skills
  • Advanced in MS Excel or statistical applications and MS Word / Presentation formatting / structural skills
Desired / Plus:
  • Knowledge of the AML / KYC regulations or tax/regulatory requirements of the client onboarding process (e.g. PI classifications, LEI, FATCA, CRS, 871m etc.)
  • University degree holder in an analytical subject from a top-tier university