KYC / Client Onboarding Associate (Institutional Clients)

Mizuho•New York, NY

6d•$65,000 - $90,000•Hybrid

About The Position

Support the direct team manager on all onboarding processes as part of the Institutional Onboarding pod. This role partners closely with Sales, Clients, Credit, Compliance, Legal, and Regulatory Operations to onboard new institutional clients efficiently and in accordance with AML and regulatory requirements.

Requirements

Series 99
Prior KYC onboarding experience
Strong regulatory and product knowledge
Highly organized, detail‑oriented, and results‑driven
Strong project management and multitasking skills
Ability to work independently in a fast‑paced environment
Team‑oriented with a client‑first mindset
Strong judgment and problem‑solving skills
Excellent written and verbal communication skills
Experience working with Front Office
Ability to handle confidential client information appropriately
Bachelor’s degree

Responsibilities

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
Review Dodd‑Frank regulatory information and determine sufficiency based on regulatory requirements
Evaluate Investment Advisor organizational structures and determine full vs. streamlined KYC onboarding requirements
Ensure client packages adhere to internal audit standards and global policies
Liaise directly with Front Office and clients to collect and assess required AML and regulatory documentation
Partner with Legal, Compliance, Sanctions, Regulatory, Tax, and Operations to ensure timely account opening
Identify and recommend process efficiencies
Prioritize onboarding cases to meet deadlines
Determine industry codes (e.g., SIC/Sector Codes)
Resolve day‑to‑day onboarding issues and escalate as required
Maintain ownership of onboarding experience and client satisfaction
Demonstrate strong awareness of business risk and accountability for issues