Client Onboarding - Investment Advisors/Funds Group - Associate / AVP

Job description: 

Major Responsibilities: 

• Support direct team manager for all onboarding processes  

• Manage daily onboarding requests for all divisions of Mizuho  

• End to end onboarding coordination  

• Compose KYC packages and perform due diligence on new clients based on risk rating including FinCen requirements and Enhanced Due Diligence 

• Conduct OFAC and Negative News searches on clients and related parties to identify and assess potential risk to the firm 

• Ability to prioritize onboarding cases to ensure completion prior to deadlines 

• Liaise with Front Office and clients directly 

• Adhere to internal audit requirements  
• Recommend and assist in requirements for efficiencies where needed 

• Ability to determine industry codes (for example SIC/Sector Codes) 

• Familiarity with Investment Advisor Public Disclosure and Edgar sites, along with necessary documentation (ie: RIA, QIB, 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets & 151 Prime Broker Agreements).  

• Ability to understand an Investment Advisor’s organization structure, as well as, when full KYC Onboarding is required versus streamlined KYC Onboarding is required.  
• Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and Operations 

Skills and Competencies: 

• Bachelor's degree or equivalent 

• Strong attention to detail and analytical skills. Appropriate and confidential handling of client data  Excellent communication skills  

• Ability to effectively manage and report on progress of requests 

The expected base salary ranges from $77,000.00 - $105,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.

Other requirements

In office attendance is an essential function of this role.  There is currently a requirement to be in the office a minimum 50% of the time, or five out of every 10 business days.  Specific information about the requirements for your role will be communicated during the recruitment process.

Company Overview

Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through its acquisition of Greenhill​, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.​​

Mizuho Americas offers a competitive total rewards package.

We are an equal employment opportunity employer, and we comply with applicable laws prohibiting discrimination in all of the jurisdictions where we operate. AA Employer - M/F/Disability/Veteran.

Accommodations are available upon request for applicants with disabilities and other covered reasons in accordance with applicable law.

We participate in the E-Verify program.

We maintain a drug-free workplace and reserve the right to require pre- and post-hire drug testing, as permitted by applicable law.