Client Referential & Regulator Data Senior Lead
Societe Generale Hong Kong Branch
Hong Kong


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 andClient 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

    Roles and Responsibilities

  • Responsible for owning and leading client data and non-AML regulatory control driven processes
  • Manage multiple, concurrent control-related tasks of varying sizes and complexities
  • Work with peers to minimise rework and redundancy across CLIC / RRD initiatives
  • Develop the operational readiness plan and oversee the transition of any new or changing regulation impacting client data or client life cycle from change to run mode
  • Perform risk assessments and work with impacted stakeholders to develop risk mitigation plans
  • Communicate with management and project sponsors on status, milestones and RAIDs
  • Manage escalations in a proactive and timely manner
  • Oversee the monthly post-onboarding quality assurance checks on the non-AML regulatory data
  • Ensure the quality of the tested samples are aligned with the internal policies and procedures
  • Identify learning points from the quality assurance controls and feed into the training and knowledge management programme
  • Design a knowledge management framework that allows different ways of disseminating knowledge across CLIC and Business
  • Support continuous improvements across CLIC regionally
  • Collaborate with other teams and contribute to controls initiatives or transformation projects
  • Profile

    Minimum Qualifications Experience

  • 10+ years relevant experience in an investment bank or international multi-cultural organisation
  • 8+ years relevant experience in working in client onboarding / KYC / reference data related transformation programme from Operations, Change or Management Consultancy
  • Degree in a Science / Finance subject from an internationally recognised institution
  • Experience in managing geographically distributed and culturally diverse work-groups
  • Experience in transformation projects / change initiatives
  • Technical Skills

  • Risk and control mindset
  • Confident in presenting and communicating to people at all levels and from different teams
  • Strong analytical skills through structured business analysis and project management methodology (such as PMP)
  • Adept MS Excel, PowerPoint and Word skills including but not limited to
  • Using formulas for data manipulation and analysis
  • Using MS built-in functions for presentation
  • In-depth knowledge of client and / or instrument reference data
  • Knowledge of non-regulatory (e.g. Hong Kong Professional Investor, Legal Entity Identifier) and / or tax (e.g. FATCA, CRS, 871m) regulations
  • Solid skills in presenting and communicating KPIs / KRIs to stakeholders at all levels and from different teams
  • Competencies

  • Strong team management, leadership and coaching skills
  • 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
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