KYC QA & Advisory - Banking Operations Hong Kong KYC QA & Advisory - Banking Operations Hong Kong …

in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 18 Jul 19
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 18 Jul 19
KYC QA & Advisory - Banking Operations Hong Kong

Internal Advisory & Training
  • Act as a KYC subject matter expert on all APAC regulations and the global KYC requirements
  • Address questions and issue guidance to the KYC production teams and business lines locally and globally
  • Provide interpretation of the regulatory or internal guidance as required and facilitate discussions with Compliance or global procedures team
  • Build a strong knowledge of the operating processes across the entire client lifecycle i.e. from sales initiation, new business onboarding, client refreshes (regular or ad-hoc) to offboarding
  • Design a knowledge management framework that allows different ways of disseminating knowledge across the KYC analysts and business, this includes but not limited to the delivery of new hire trainings, ongoing refresher courses and targeted training sessions due to new KYC requirements or audit/compliance findings
  • Be a quality advocate and promote the KYC analysts and business to conduct their client due diligence functions in accordance with the internal policies, procedures and within the regulatory framework

Procedures Management
  • Create/update KYC bulletins, procedures (local and global) and tools based on the changes to the local or global policies, or recommendations from the audit findings • Define a robust framework to manage the procedure changes and ensure the changes are effectively embedded and communicated to the KYC analysts and business
  • Liaise with global procedure team and regional/local Compliance teams on global/regional initiatives
Quality Assurance
  • Perform quality assurance checks on the post production client KYC files
  • Ensure the quality of the tested samples are aligned with the local and global KYC requirements
  • Identify learning points from the quality assurance controls and feed them into the training and knowledge management programme
Transformation Programme
  • Collaborate with other teams and contribute to controls initiatives or transformation projects
  • Work on initiatives aimed at automation and efficiency gains

All our positions are open to people with disabilities


Technical Skills
  • 8+ years' experience in an investment bank or a multi-cultural organisation
  • 6+ years' experience and demonstrated practical knowledge of AML and KYC regulations (e.g. HKMA, MAS, US, UK FCA) and/or CAMS certified or equivalent
  • 4+ years' experience in quality assurance or/and procedure writing and providing advisory
  • Excellent written and oral communication skills
  • Demonstrated analytical abilities and control mindset
  • Confident in presenting and communicating to people at all levels and from different teams
  • Proficient in Word (use of Design, Layout, References & Review functionality)
  • Proficient in PowerPoint (use of Design & Format functionality)
  • Experience in transformation projects / change initiatives
  • 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
  • University degree holder from an internationally recognised university


Societe Generale is one of the leading financial services groups in Europe. Present in over 50 countries across Europe, the Americas and Asia. Societe Generale 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.

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

Job code: 190002TL

Business unit: Societe Generale Hong Kong Branch

Starting date: Immediate

Date of publication: 01/07/2019


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