Governance & Controls Officer (RRD)

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • 20 Apr 19

Governance & Controls Officer (RRD)


Department Overview 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 & Regulatory processes. Its mission is to develop a simple-track and distinctive client journey, both on clients' and on employees' side, with a continuous commitment all along our clients' life cycle.

The Governance, Controls and Referential & Regulatory Data is the pillar that underpins the end-to-end client journey to ensure CLIC operates in a controlled risk environment and fulfils our regulatory obligation to protect Société Générale and our clients. Key functions include:

  • Risk & Control Agenda: KPI/KRI reporting and dashboard, offshoring governance & oversight
  • Reference Data & Regulations: client core reference data & tax and investor protection regulation projects
  • Knowledge Management: procedures & bulletins, trainings and internal advisory
  • Audit & Operational Risk: regional contact point for internal and external audit missions and compliance testing; and reporting and escalation of operational incidents / losses
  • Continuous Improvement: continuous enhancements of client journey
  • Transformation Programme: sponsor for the work-streams relating to the regulatory and reference data topics and AML/KYC policies & procedures


Role Description:

The Governance & Control Officer will be responsible for managing client and regulatory data controls driven programmes of varying sizes and complexities in partnership with global teams. The Officer will monitor and ensure the appropriate controls are in place, and enhance the controls as the framework

Key Responsibilities:

Governance and Controls
  • Partner with CLIC production managers to establish and drive control meetings to ensure
  • agenda and materials effectively cover operating risk
  • Oversee and ensure the department end to end control environment is operating as intended
  • Identify and remediate control gaps and be able to represent CLIC interests over control /
  • regulatory led initiatives
  • Communicate with management on status, milestones and RAIDs, and escalate in a proactive
  • timely manner
  • Lead the remediation of operational errors, and work with key stakeholders to review the
  • incidents to agree on the root causes and delivery of appropriate remedial actions
  • Plan, coordinate and execute ad hoc or analytical requests relating to CLIC

Regulatory, Audits and Compliance Testing
  • Support the regional and onshore team for controls audits, testing and regulatory / compliance initiatives
Transformation Programme
  • Collaborate with other teams and contribute to transformation projects
  • Work on initiatives aimed at automation and efficiency gains


Technical Skills
  • 8+ years' relevant experience in an investment bank or international multi-cultural organisation
  • 5+ years' experience and demonstrated practical knowledge of AML and KYC regulations and/or
  • client reference data gained from Audit, Risks & Controls, Change or Consultancy
  • Experience in working with geographically distributed and culturally diverse work-groups
  • Demonstrated analytical abilities and control mindset
  • Strong analytical, problem solving & process re-engineering skills
  • Confident in presenting and communicating to people at all levels across teams and domains
  • Competent in the usage of MS Excel and PowerPoint including but not limited to using formulas
  • for data analysis
  • Experience in transformation projects / change initiatives
  • (Optional) CAMS certified or equivalent

  • Good attention to details along with an open and investigative mind-set, able to see issues at both
  • a high-level and in detail
  • Strong team player with excellent communication, partnering and influencing skill
  • Good organisational skills, able to manage and prioritise multiple tasks
  • Highly motivated self-starter, eager to learn and willing to work on a variety of assignments
  • Demonstrated ability to think innovatively and challenge the status quo
  • Ability to work in a dynamic and highly pressure environment and juggle competing priorities
  • University degree holder in Science / Finance from an internationally recognised university