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KYC Team Leader

Expired Job

Societe Generale Chicago , IL 60602

Posted 2 months ago


Department Summary:

The Socit Gnrale ("SG") Client Lifecycle Intelligence and Care ("CLIC") supports the operational, administrative and financial processing for market and credit operations within the Global Banking and Investor Solutions ("GBIS") business lines and International Private Banking. CLIC ensures the control and security of transaction processing in accordance with current financial legislations.

Within the CLIC organization, is the SGUS Client Lifecycle Management group (CLIC/KYC) which is responsible for KYC & Onboarding processes of New Accounts, Periodic Reviews, Quality Assurance, Policy, Procedures + Training, and Client Reference Data for GBIS. CLIC/KYC is responsible for implementing and assuring consistent application of SG's KYC procedures and other regulatory requirements associated with onboarding and maintaining a client relationship.


Day-to-Day Responsibilities:

  • Lead and provide Management of KYC team responsible for the smooth and effective on- boarding process of new Prime Brokerage clients

  • Provide the team with guidance, support and training as needed to maintain high quality standards and productivity

  • Drive and enforce and maintain quality of KYC files to Quality Assurance standards

  • Perform a pivotal role in the management of operational risk

  • Advise team members in the development and implementation of escalation procedures for KYC/AML unresolved items.

  • Maintain working knowledge of AML and OFAC regulations and be able to relate them to SG policies and procedures

  • Maintain strong working relationship with AML Compliance with an emphasis placed on the on-boarding and review of High and Medium-High clients.

  • Ensure the proper application of KYC principals (including FATF EU 3rd AML Directive, USA Patriot Act, and FINRA) into strong quality assurance controls

  • Ensure team's adherence to the Global and Local requirements of client on-boarding

  • Manage data requests from internal & external auditors

  • Provide support to KYC management in new and ongoing initiatives

  • Take the lead in establishing process improvements and procedures

  • Monitor team's performance on a daily basis and maintain metrics reporting for Senior Management (KPIs / KRIs)

  • Communicate with Business Line senior management on a daily basis regarding business results

  • Propose organizational and IT changes to improve efficiency



  • Give sense to action:

  • Understand and explain the contribution of each team member to the CLIC value chain.

  • Know the strategy of business partners and define in actions for the team members.

  • Define the objectives of the staff and ensures they are in line with the CLIC line strategy.

  • OB activity (people, risk, quality of service, efficiency):

  • Setup and monitor KYC team production metrics on a daily basis.

  • Analyze and suggest process improvement. Ensure that procedures are formalized and followed by staff on entire perimeter.

  • Follow up on action plans for projects and initiatives that impact team.

  • Communicates with management on a daily basis about the state of the KYC team

  • Escalate in a timely fashion in case of difficulties.

  • Organize activity (people, processes, IT):

  • Distributes tasks to the team and manages the priorities daily (and if needed reallocates during the day).

  • Identifies and implements process improvement. Proposes organizational and IT changes to improve efficiency of the chain.

  • Set up meetings with internal partners on a regular basis.

  • Anticipate and take actions to ensure HR management (eg. Vacation planning, staffing changes, mobility.)

  • Develop the people:

  • Motivate and help the team to achieve their operational objectives. Promote team spirit and mutual support. Help the team through challenging situations.

  • Identify and formalize the knowledge required for each position.

  • Assess performance, skills and knowledge of the team members and support their development.

  • Organize new joiners on boarding to train them in a reasonable time.

  • Transform:

  • Implement the governance to share within the team challenges, best practices and useful information.

  • Looks back on the team's processes, propose and challenge improvements on "how to"

  • Implement and manage change within the team.


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

  • Microsoft Office, Word, Excel, PowerPoint

Desired / Plus:


  • Prime Brokerage Experience

  • 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


Experience Needed:

  • A minimum of ten years experience in the Financial Services industry

Desired / Plus:

Educational Requirements:

  • Degree calibre candidate with expertise in business or economics related subjects

Desired / Plus: ACAMS

Languages: (Other than English) French

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KYC Team Leader

Expired Job

Societe Generale