KYC Case Lead, ECM

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Societe Generale
  • 19 Oct 18

KYC Case Lead, ECM


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.

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 organization
  • 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 organization in making our relationship with our clients a unique experience
  • Keepers: establishing the normative framework between Société Générale and its clients


The KYC Case Lead role acts as the interface between clients and internal key stakeholders. As a dedicated point of contact, the team is responsible for the successful end-to-end review of the KYC profile by identifying KYC requirements, collecting and validating documents that cannot be obtained via public sources and final signoff of the file. Responsibilities include supporting the business lines, managing their priorities and providing transparency of the process. The team provides advisory services internally and externally, and should be well versed in the latest KYC and regulatory requirements and how they are applied within our organization. Coordination of priorities with different Business Lines in Asia-Pacific is critical to have an efficient reviews process and to use our resources in the most optimal way. The Case Lead is accountable for the accuracy of the file in line with policy and procedure and in addition responsible for final validation of the file from a KYC perspective.

Primary Objectives:
  • Help the client/sales understand SG's KYC requirements and provide additional rational as to why certain documents are being requested
  • Ensure the relevance, quality and accuracy of main client description and categorization attributes in SGCIB and SG Group client data bases
  • Take responsibility for the proper management of KYC files and client records in the information systems
  • Use strong communication skills (verbal and written) to review existing clients to the bank and ensure KYC files are consistently completed in line with policy and procedure. Manage communication & updates between all key stakeholders
  • Act as dedicated point of contact for internal stakeholders and external clients, to enhance coordination and prioritization of the review cases in the APAC region as well as between various regional hub located in Europe and USA
  • Ensure weekly productivity targets are met while quality remains at the highest standards
  • The Case Lead is responsible to work closely with our outsourcing partners and set their priorities which have been agreed with the business
  • Ownership of the case from the point of documents collection to validation
  • The case lead is responsible for assessing the final Client risk and providing final validation on the KYC analysis
  • Advisory role for all BLs and Clients
  • Provide transparency, report incidents and escalade blocking or complex cases to front office or Compliance with expected actions plans

Major Accountabilities/Principal Responsibilities:
  • Collect documentation from Clients and provide guidance and support
  • Set regular meetings with front office for follow up
  • Participates in key projects linked to coordination with other teams within the global KYC network for documentation collection required KYC reviews
  • Manage business priorities while at the same time providing transparency and visibility
  • Lead performance meetings with internal stakeholders and business
  • Produce reports for follow up, population management and KPI monitoring
  • Assist in managing a dedicated mailbox for the periodic reviews process
  • Provide cross coverage on all team functions
  • Provide assistance and expertise to FO and Clients on the periodic reviews process
  • Comply with all Risk and regulatory obligations where relevant
  • Participates in key projects linked to managing existing client's data and KYC profile
  • 4-eye check & validation of KYC files to ensure that it is in line with policy and procedure
  • Ensure client data (e.g. change of name, change of address, merger with other entity, change of ownership) in the client referential database is updated, as a result of the review process or when Front Office advise KYC such information that can constitute a trigger event


Key Skill Areas & Knowledge Required:
  • Prior experience in KYC in a broker or investment bank environment
  • Client facing skills - ability to speak to the client on regular basis and provide accurate and efficient information
  • Ability to explain clearly to the client the requirements for the periodic reviews process
  • Ability to understand the client structure and the structure of a financial transaction
  • Understanding of key issues in relation to AML risk, ability to identify relevant sources of information
  • Familiarity with Hong Kong AML/KYC regulatory and compliance issues particularly in the banking and investments sectors, to ensure our KYC standard is compliant with local regulatory requirements
  • Analytical skills, precision, curiosity, tenacity and ability to work autonomously
  • Ability to work under pressure and handle difficult conversations
  • Demonstrated ability to prioritize and work within tight and changeable timeframes
  • Ability to build and cultivate good working relationships with Business Lines and Clients
  • Good interpersonal and communication skills, sense of service, and flexibility are essential requirements
  • The position requires effectiveness, team spirit and an ability to work in a fast-paced and demanding environment
  • Transversal knowledge of the services and products of the corporate and investment banking sector. Specific knowledge of SG group is an advantage
  • Eagerness to learn and to keep abreast of AML/KYC latest issues and requirements
  • Fluent in written and spoken English. Fluency in Mandarin or Cantonese preferred.