Client Onboarding - Investment Advisors/Funds Group - AVP
Mizuho•New York, NY
•$77,000 - $105,000•Hybrid
About The Position
The Client Onboarding role supports onboarding for Mizuho’s Investment Advisors/Funds Group. The position coordinates onboarding end to end, manages daily requests across Mizuho divisions, and conducts client due diligence according to risk ratings and applicable requirements. It involves direct communication with clients and the Front Office, coordination with internal teams, meeting deadlines, and adherence to internal audit requirements. The role also identifies opportunities to improve efficiency and assesses when full versus streamlined KYC onboarding is appropriate.
Requirements
- Bachelor’s degree or equivalent.
- Strong attention to detail and analytical skills.
- Ability to handle client data appropriately and confidentially.
- Excellent communication skills.
- Ability to effectively manage and report on request progress.
Responsibilities
- Support the direct team manager with all onboarding processes.
- Manage daily onboarding requests for all Mizuho divisions and coordinate onboarding end to end.
- Prepare KYC packages and conduct risk-rated due diligence on new clients, 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 before deadlines.
- Liaise directly with the Front Office and clients.
- Adhere to internal audit requirements.
- Recommend and assist with requirements for process efficiencies where needed.
- Determine industry codes, such as SIC and sector codes.
- Use Investment Advisor Public Disclosure and EDGAR sites and work with relevant documentation, including RIA, QIB, 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets, and 151 Prime Broker Agreements.
- Understand Investment Advisor organizational structures and determine when full versus streamlined KYC onboarding is required.
- Liaise with internal Legal, Compliance, Sanctions, Regulatory, Tax, and Operations groups.
- Manage and report progress on requests.
Benefits
- Generous employee benefits package.
- Eligible for a discretionary bonus.
- Competitive total rewards package.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
