Governance & Controls Officer

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • CDI, Plein-temps
  • Societe Generale
  • 18 juil. 18 2018-07-18

Governance & Controls Officer


Environment

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 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

Role & Responsibilities

Controls & Audits

  • Identify areas of weakness in the Controls and Quality Assurance framework and implement corrective actions to ensure continuous enhancement
  • Perform QA controls on the production of the KYC team and regulatory categorisation teams
  • Identify areas of weakness and implement relevant actions to ensure continuous improvement on an ongoing basis
  • Provide targeted training as required for example in relation to new requirements or where controls and testing identify areas of weakness)
  • Work with internal audit / compliance to coordinate responses for information relating to the KYC files along with non-KYC regulatory aspects such as tax and client classification
  • Manage the offshore service level agreement documentation and maintain an inventory


Procedures and Documentation Maintenance

  • Create / update local procedures and workflows based on changes to policy, process regulatory or audit requirements
  • Ensure updates to global, regional and local policies and procedures are disseminated as required across the region
  • Update controls inventory as required to ensure ongoing compliance with revised policies and procedures


Regulatory Data

  • Oversee the non-KYC and tax regulatory aspects of the onboarding process
  • Contribution to regulatory projects


Profile

Experience

  • 7+ years relevant experience in working in client onboarding / KYC / AML or related regulatory field in an investment bank or capital market
  • Degree in a Science / Finance subject from an internationally recognised institution


Technical Skills

  • Solid experience working in risks or controls environment
  • Good understanding of the investment banking business, its products and activities
  • Demonstrated experience working with stakeholders from business to operations, audit, compliance and legal
  • Experience in working in regulatory or business driven initiatives within operations
  • Practical knowledge of AML and KYC regulations (e.g. US, FCA, HKMA, MAS, EMIR, Dodd Frank)
  • Experience in using MS Office products
  • (Optional) CAMS Certified or equivalent


Competencies

  • Excellent oral and written communication skills
  • Strong analytical skills
  • Ability to work and juggle competing priorities in a dynamic and high pressure environment
  • Rigor, self-starter, pro-active and solution-oriented
  • Ability to follow tight deadline, identify priorities, report in due time and address difficult situations with autonomy
  • Curiosity and critical sense
  • Team player, promotes sharing of expertise and learning