Client Onboarding Associate / KYC

Mizuho•New York City, NY

2d•Hybrid

About The Position

The Onboarding Associate will be part of the Underlying Principles onboarding team and will work closely with Front Office Sales/Trading, Internal Stakeholders (Credit, Legal, Compliance, Ops) and external Clients to onboard and complete new client onboarding in a timely and efficient manner.

Requirements

Bachelor’s degree
FINRA SIE & Series 99 (or willingness to obtain within 6 months of hire)
Familiarity with Fenergo
Strong analytical skills and attention to detail, with the ability to handle confidential client data appropriately
Excellent written and verbal communication skills
Self-motivated with the ability to work independently, manage priorities, and provide progress updates on requests and projects.

Responsibilities

Review onboarding submissions for funds, SPVs, and other investment manager managed entities.
Partner with Front Office teams and clients to obtain required KYC/CIP, regulatory, and account setup documentation.
Review onboarding documents (e.g., account opening forms, tax forms, formation documents, ADV, suitability certificates, QIB, AML letters, Wolfsberg Questionnaire, and Prime Broker Agreements) for accuracy, completeness, and relevance.
Ensure onboarding documentation complies with internal audit, MUSO Policy, and global KYC/ AML requirements.
Manage onboarding priorities to meet deadlines.
Create client records, ensuring alignment of client type, industry classification, business activities, relationship purpose, and products.
Conduct OFAC and adverse media screenings to identify and assess client risk.
Review Dodd-Frank regulatory documentation for completeness and regulatory compliance.
Collaborate with Legal, Compliance, Sanctions, Regulatory, Tax, and Operations teams to facilitate timely onboarding and account openings.
Utilize external research sources, including IAPD, EDGAR, GLEIF, Secretary of State databases, foreign registries, and IHS Markit.
Identify and support process improvement and efficiency initiatives.