Client Onboarding - Investment Advisors/Funds Group - AVP
At a glance
Mid-level Customer Success role at Mizuho. New York · full-time · $77,000–$105,000 base.
growthroles summary, based on the employer's posting.
What you'll do
- Coordinate new-client onboarding from initial request through completion, handling daily cases across Mizuho divisions
- Build KYC files and assess new clients according to their risk ratings, including enhanced due diligence
- Check clients and related parties for OFAC matches and negative news, then assess potential firm risks
- Prioritize cases against deadlines, keep front-office teams and clients informed, and report request progress
- Work with legal, compliance, sanctions, regulatory, tax and operations teams while supporting audit standards and process improvements
What you bring
- A bachelor's degree or an equivalent qualification
- Careful analytical work and sound judgment when handling confidential client information
- Clear communication and the ability to track and report progress on onboarding requests
Who this fits
This role suits someone comfortable coordinating client onboarding across internal teams and communicating directly with clients. It is based in New York, with hybrid work opportunities varying by role and department needs.
From the employer
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
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. 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 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.
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