Job ref no.: CT3115703-01#1971

KYC Case Lead

Societe Generale Hong Kong Branch


Primary Objectives
  • Help the client / sales understand SG’s KYC requirements and provide additional rational as to why certain documents are being requested
  • Ensure the relevance, quality and accuracy of main client description and categorization attributes in SGCIB and SG Group client data bases
  • Take responsibility for the proper management of KYC files and client records in the information systems
  • Use strong communication skills (verbal and written) to review existing clients to the bank and ensure KYC files are consistently completed in line with policy and procedure. Manage communication & updates between all key stakeholders
  • Act as dedicated point of contact for internal stakeholders and external clients, to enhance coordination and prioritization of the review cases in the APAC region as well as between various regional hub located in Europe and USA
  • Ensure weekly productivity targets are met while quality remains at the highest standards
  • The Case Lead is responsible to work closely with our outsourcing partners and set their priorities which have been agreed with the business
  • Ownership of the case from the point of documents collection to validation
  • The case lead is responsible for assessing the final Client risk and providing final validation on the KYC analysis
  • Advisory role for all BLs and Clients
  • Provide transparency, report incidents and escalade blocking or complex cases to front office or Compliance with expected actions plans
Major Accountabilities / Principal Responsibilities
  • Collect documentation from Clients and provide guidance and support
  • Set regular meetings with front office for follow up
  • Participates in key projects linked to coordination with other teams within the global KYC network for documentation collection required KYC reviews
  • Manage business priorities while at the same time providing transparency and visibility
  • Lead performance meetings with internal stakeholders and business
  • Produce reports for follow up, population management and KPI monitoring
  • Assist in managing a dedicated mailbox for the periodic reviews process
  • Provide cross coverage on all team functions
  • Provide assistance and expertise to FO and Clients on the periodic reviews process
  • Comply with all Risk and regulatory obligations where relevant
  • Participates in key projects linked to managing existing client’s data and KYC profile
  • 4-eye check & validation of KYC files to ensure that it is in line with policy and procedure
  • Ensure client data (e.g. change of name, change of address, merger with other entity, change of ownership) in the client referential database is updated, as a result of the review process or when Front Office advise KYC such information that can constitute a trigger event


Key Skill Areas & Knowledge Required
  • Prior experience in KYC in a broker or investment bank environment
  • Client facing skills – ability to speak to the client on regular basis and provide accurate and efficient information
  • Ability to explain clearly to the client the requirements for the periodic reviews process
  • 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
  • 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
  • Analytical skills, precision, curiosity, tenacity and ability to work autonomously
  • Ability to work under pressure and handle difficult conversations
  • Demonstrated ability to prioritize and work within tight and changeable timeframes
  • Ability to build and cultivate good working relationships with Business Lines and Clients
  • Good interpersonal and communication skills, sense of service, and flexibility are essential requirements
  • The position requires effectiveness, team spirit and an ability to work in a fast-paced and demanding environment
  • Transversal knowledge of the services and products of the corporate and investment banking sector. Specific knowledge of SG group is an advantage
  • 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.


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More job information
Job ref no. CT3115703-01#1971
  • N/A
Job Function
Employment Term
  • Permanent
  • Contract
  • 0 year - 5 years
Career Level
  • Senior management level
  • Degree