KYC Quality Control Analyst
Societe Generale Hong Kong Branch
Hong Kong
source : Boursorama Banque

Primary Objectives :

The Client Lifecycle Intelligence and Care ( CLIC’) department is the cross-business client management division of Global Banking and Investor Solutions ( GBIS’).

As part of the GBIS COO Service Unit, the GBS Cross Border Client Management Group is globally in charge of the client experience across the GBIS activities.

The department is particularly in charge of :

  • KYC) KYC due diligence for both on-boarding and periodic reviews
  • RRD) Management of client reference & regulatory data
  • COO) Project management
  • The KYC Quality Control (QC) Analyst is accountable for the accuracy of the file in line with policy and procedures and in addition responsible for final validation of the file from a KYC perspective.

    Through an independent Checker role, he will ensure high quality standards are maintained, assist in identifying problem areas and risks associated with processes and make recommendations to improve the quality of KYC files.

    He will serve as a key support resource for delivering guidance to KYC analysts and Outreach analysts. The KYC QC Analyst should be well versed in the latest AML / KYC and regulatory requirements (HKMA, MAS, etc.

    and how they are applied within our organization


    Main Responsibilities and Accountabilities :

  • Understand and adhere to the standards and procedures set out in SGCIB Global Policy, as well as relevant local regulatory requirements (including in respect of AML / CFT / KYC, tax, sanctions and embargoes matters);
  • Perform 4-eyes checking and be accountable for the accuracy of the files in line with policy and procedures;
  • Liaise and feedback all file inconsistencies to Outreach Analysts / KYC Analysts and ensure they are rectified before file validation;
  • Assess the final Client risk rating and provide final validation on the KYC analysis;
  • Take responsibility for the proper management of KYC files and client records in the information systems;
  • Ensure timely completion of the files and prioritized workload to meet productivity targets, while quality remains at the highest standards;
  • Identify problem areas and risks associated and make recommendations to improve the quality of KYC files and / or process efficiency;
  • Advisory role for KYC Analysts & Outreach Analysts;
  • Proactively highlight Audit and Compliance issues and ensure that all existing Audit, Permanent Supervision or Compliance recommendations are closed out in timely manner;
  • Comply with all risks and regulatory obligations where relevant.
  • Profile

    Key Skill Areas & Knowledge required :

  • Prior experience in KYC in a broker or investment bank environment;
  • 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;
  • Strong writing skills, capability to document relevant information in a clear, structured and comprehensive way;
  • 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;
  • Transversal knowledge of the services and products of the corporate and investment banking sector - Specific knowledge of SG group is an advantage;
  • The position requires effectiveness, team spirit and an ability to work in a fast-paced and demanding environment;
  • Ability to work under time pressure with high degree of accuracy;
  • Demonstrated ability to prioritize and work within tight and changeable timeframes;
  • Ability to work independently, under minimal supervision;
  • Attention to detail, combined with a strategic and proactive work approach;
  • 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.
  • Qualifications :

  • Graduate degree in finance, business administration, economics or computer science
  • 2-3 years experience in KYC management in an investment bank
  • Experience of working in an international, multi-cultural organization
  • 申請
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