Client Onboarding - Investment Advisors/Funds Group - Associate

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
• 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
• Determine industry codes (e.g., SIC/Sector Codes)
• Familiarity with Investment Advisor Public Disclosure and Edgar sites, along with necessary documentation (RIA, QIB, 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets & 151 Prime Broker Agreements)
• Understand an Investment Advisor’s organization structure, when full KYC Onboarding 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

Compensation

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

Mizuho has a hybrid working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, and local laws and regulatory obligations. Roles in some of our departments have greater in-office requirements that will be communicated to you as part of 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

Equal Opportunity Employment

Mizuho Americas is an EEO/AA Employer - M/F/Disability/Veteran. 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.