KYC Quality Assurance Analyst
Société Générale
Hong Kong, CN


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.

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-to-end 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

    Quality Assurance & Controls

  • Perform quality assurance checks on the post KYC production files
  • Monitor KRIs / KPIs, prepare reporting metrics and ensure any risks and / or issues are tracked through to completion
  • Ensure the quality of the tested samples are aligned with the internal and local / global AML / KYC requirements
  • Identify learning points from the quality assurance controls and feed into the training and knowledge management programme
  • Identify areas of weakness in the quality assurance / quality checking framework and implement corrective actions to ensure continuous enhancements
  • Work with peers to minimise rework and redundancy across CLIC KYC
  • Support Compliance or audit-related requests and involve in quality check client records prior to submission
  • Act as AML 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
  • Experience

  • 5+ years relevant experience in an investment bank or international multi-cultural organisation
  • 3+ years relevant experience in working in client onboarding / KYC / AML or related field in an investment bank or capital market
  • Degree in a Science / Finance subject from an internationally recognised institution
  • Technical Skills

  • Risk and control mindset
  • Practical knowledge of AML and KYC regulations (e.g. US, FCA, HKMA & MAS)
  • Confident in presenting and communicating to people at all levels and from different teams
  • Strong analytical skills

  • Experience in using MS Office products
  • Competencies
  • Excellent oral and written communication skills
  • Ability to work in a dynamic and high pressure environment
  • Rigor, self-starter, pro-active and solution-oriented
  • Ability to follow tight deadline, identify priorities and address difficult situations with autonomy
  • Curiosity and critical sense
  • Able to balance systematically benefits and risks, even those falling outside the scope of formal procedures
  • Team player, promotes sharing of expertise and learning
  • Others

    Optional) CAMS Certified or equivalent

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