KYC Quality Assurance Lead

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • SOCIETE GENERALE HK
  • 20 Apr 19

KYC Quality Assurance Lead


Environment

Overview of Department / Function


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 organisation
  • 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 organisation in making our relationship with our clients a unique experience
  • Keepers: establishing the normative framework between Société Générale and its clients
  • The Governance, Controls and Referential & Regulatory Data team is a pillar that supports the end-toend


Onboarding from an oversight perspective. 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 CLIC KYC and business stakeholders


Mission

Main Responsibilities


Quality Assurance & Controls


  • Hands-on lead role to manage and perform the quality assurance checks on the client KYC files completed by the production teams
  • Ensure the quality of the tested samples are aligned with the internal policies and requirements
  • Host calibration meetings with the production teams to discuss the findings and ensure all the findings and the corrective actions required are mutually agreed
  • Monitor the required corrections are complete within the deadlines and to quality
  • Identify the learning points from the quality assurance controls, identify the root causes and fix them through training, updates to procedures and/or systems
  • Continuously identify the areas of improvement in the quality assurance framework and
  • implement enhancements as required
  • Work with peers to minimise rework and redundancy across CLIC KYC
  • Support Compliance or audit-related requests and involve in quality check of client KYC files prior to submission
  • Act as a KYC subject matter expert and provide internal advisory to CLIC KYC and Business on any unclear operational guidance arisen from the procedures or policies


Transformation Programme


• Collaborate with other teams and contribute to controls initiatives or transformation projects
• Support continuous improvements across CLIC regionally

Profile

Experience

  • 8+ years relevant experience in an investment bank or international multi-cultural organisation
  • 5+ years relevant experience in working in client onboarding / KYC /AML or related field in an investment bank or capital market
  • Demonstrated working knowledge of APAC KYC requirements


Competencies


Team player, promotes sharing of expertise and learning
Demonstrate the capacity to work in a team environment, on collective success
Display responsibility and act ethically
Display commitment, demonstrating consideration for others
Eager to learn and willing to work on a variety of assignments
Ability to adapt quickly to challenging situations and find innovation solutions
Proficient in Excel (use of formulas & macros for data manipulation and presentation)
Proficient in Word (use of Design, Layout, References & Review functionality)
Proficient in PowerPoint (use of Design & Format functionality)