Client Onboarding – Investment Advisors / Funds Group, Associate / AVP

Responsibilities

• Compose KYC packages and perform due diligence on new clients based on risk rating including FinCen requirements and Enhanced Due Diligence without immediate direction or supervision
• Conduct OFAC and Negative News searches on clients and related parties to identify and assess potential risk to the firm
• Determine and review Dodd Frank regulatory information provided by the client and determine if sufficient based on regulation
• Evaluate an Investment Advisor’s organization structure as well as determine when full KYC Onboarding is required versus streamlined KYC Onboarding is required
• Ensure client packages adhere to internal audit requirements through judgement made from understanding of global policies
• Liaise with Front Office and clients directly to collect and evaluate the efficiency of all documentation required to adhere to both AML and regulatory requirements
• Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and Operations to coordinate the efforts of all teams and ensure that accounts are opened in a timely manner
• Familiarity with and strong grasp of 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)
• Recommend and assist in requirements for efficiencies where needed
• Prioritize onboarding cases to ensure completion prior to deadlines
• Determine industry codes (for example SIC / Sector Codes)

Skills & Competencies

Other Requirements

Mizuho has in place a hybrid working program, with varying opportunities for remote work depending on the nature of the role, needs of your department, as well as 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.

Compensation & Benefits

The expected base salary ranges from $50,000 - $125,000. 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, including Medical, Dental and 401K plans, successful candidates are also eligible to receive a discretionary bonus.

Legal & EEO

We are 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.

#J-18808-Ljbffr