KYC Processes Oversight and Support

 Jersey City, United States       Permanent contract        Banking Operations


Day-to-Day Responsibilities: 

  • Serves as a Subject Matter Expert (SME) related to KYC review production processes at both the new client onboarding and periodic review levels.
  • Provides primary oversight and guidance to the Periodic Review Process Group for Priority Clients.
  • Serve as liaison and oversight of services provided to GBSU/CLD/KYC AMER by GSC Bangalore SME Team.
  • Acts as the primary SME for the Quality Assurance process and internal testing controls for the KYC file review process.
  • Institutes and manages controls to ensure that Material Errors are appropriately captured during the quality review of KYC files.
  • Serves as the escalation point and final arbiter for the dispute of Material Errors identified between the second-level review and the Quality Assurance review of KYC files. 
  • Supporting KYC Teams and Quality Assurance Analysts in updating KYC profiles in accordance with the Global Policy.
  • Supporting KYC and Quality Assurance Analysts in producing timely, high-quality KYC profiles. 
  • Providing advisory/guidance support to the teams so that KYC is performed in an efficient, accurate and professional manner.
  • Application of risk-based approaches to ensure that KYC production and high-priority files are completed in accordance with company standards.   
  • Having a strong understanding of the KYC Policy & Procedures, Line of Business procedures and Template guidance documents.
  • Supporting new SMEs with buddy training and process orientation.
  • Liaising with and obtaining clarifications from Compliance as needed in relation to the KYC production process. 
  • Supporting KYC requirements for customers, across multiple business lines, ensuring AML Regulations and company policies and procedures are adhered to from an advisory perspective.
  • Acting as mediator / “tie-breaker” when case disputes between Analyst, QCs or QAs occur.
  • To maintain core standards of behavior at all times. 
  • Ensuring the KYC escalation policies are followed.
  • Assisting with other project requirements as directed by KYC Management.
  • Responding efficiently to requests for assistance from business and KYC staff within the SME portal.
  • Performs periodic targeted training to KYC Quality Assurance, onboarding and periodic review teams based on Management Information Reporting derived from Quality Assurance and internal testing processes.

Profile Required

Competencies and Experience


Technical Skills:

  • Ability to apply principles of risk-based KYC, client risk assessment and the products used in a wholesale banking and institutional broker dealer business.
  • Familiarity with quality scoring models related to KYC files, as well as the quality assurance processes for KYC performed at large-scale financial institutions.
  • Microsoft Office, Word, Excel, PowerPoint


  • Strong communication skills
  • Strong analytical skills and ability to convey results of analysis in well written KYC memos
  • Ability to partner with Compliance, other KYC departments in SG, and business lines
  • Strong organization and planning skills
  • An inquisitive nature and ability to spot issues, and address conflicts and escalate issues where appropriate
  • Excellent problem-solving skills
  • Ability to work independently and use judgment to assure all issues and concerns are managed properly and timely
  • Ability to work in a pressurized, time-sensitive environment.


Experience Needed:

  • Minimum five years' hands-on experience in the Financial Services industry in a KYC or AML capacity.

Educational Requirements:

  • Degree caliber candidate with expertise in business or economics related subjects
  • Industry-related Compliance and AML Certifications such as CAMS, CFE desired.


Desired Languages: (Other than English) French

Why Join Us

At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities and the world in which we live, because relationships are at the heart of how we operate.

Business Insight

The Operations Department (OPER) ensures the operational processing and control of activity across all Global Banking and Investor Solutions (GBIS) business lines (Capital Markets, ex-Newedge & Financing). OPER implements all necessary means to ensure the operational, administrative and financial processing of capital markets and credit operations initiated by these business lines. In addition, OPER ensures the control and security of transaction processing in accordance with current financial regulations while acting as the first level of control on operations and booking quality. OPER provide all necessary support during the lifecycle of the transaction, perform Know Your Customer processing and provide general client relationship management. OPER also acts to steer the evolution of regulatory projects and controls our external service providers.


CLIC (Client Lifecycle Intelligence and Care) is the global cross-business client management division for Societe Generale.  CLIC’s mission is to provide a simplified, differentiated experience for SG’s clients and employees over the client’s entire lifecyle.  Within CLIC, the CLM (Client Lifecycle Management) department has primary responsibility for:

  • Coordinating the onboarding process
  • Managing client data with a guarantee of quality and completeness
  • Protecting the bank and its clients by applying KYC regulations

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Job code: 19000TG8
Business unit: SG Americas Securities
Starting date: Immediate
Date of publication: 24/11/2019
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KYC Processes Oversight and Support

Permanent contract   |   Jersey City   |   Banking Operations