Mizuho Financial Group Inc.
Client Onboarding – Investment Advisors/Funds Group, AVP
Mizuho Financial Group Inc., New York, New York, us, 10261
Client Onboarding – Investment Advisors/Funds Group, AVP page is loaded Client Onboarding – Investment Advisors/Funds Group, AVP Apply locations New York, NY (1271 AOA/6th Ave) time type Full time posted on Posted 5 Days Ago job requisition id R6349
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
Review monthly Americas Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation
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: Team player
Independent, hardworking and eager to learn
Strong attention to detail and analytical skills
Good communication skills
Appropriate and confidential handling of client data
KYC Onboarding background, specific experience in Investment Advisors & Funds a plus
Understanding of FINCEN requirements
Experience working with Fenergo onboarding platform
Knowledge of Dodd-Frank, Margin, 2021 SBS Top Up & Self Disclosure Letter Protocols
Prior experience onboarding asset managers and large funds
Minimum of 5 years’ experience
The expected base salary ranges from $82,000 - $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. #LI-Hybrid 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. #LI-MIZUHO Similar Jobs (1)
Non-Financial Regulatory Reporting locations New York, NY (1271 AOA/6th Ave) time type Full time posted on Posted 30+ Days Ago Mizuho is in growth mode as we are climbing the league tables, disrupting the status quo, and attracting top talent. Positions are available across our corporate functions, and on our corporate and investment banking, capital markets, advisory, research, sales & trading, derivatives, and financing teams. We are looking for candidates who want to contribute to our entrepreneurial culture where people at all levels are inspired to share ideas. Our creativity sets us apart, and our perseverance drives results in creating bespoke , client-focused solutions. If you are interested in advancing your career working for a firm with a growth mindset and the resources of a global financial services team, we would like to hear from you.
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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
Review monthly Americas Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation
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: Team player
Independent, hardworking and eager to learn
Strong attention to detail and analytical skills
Good communication skills
Appropriate and confidential handling of client data
KYC Onboarding background, specific experience in Investment Advisors & Funds a plus
Understanding of FINCEN requirements
Experience working with Fenergo onboarding platform
Knowledge of Dodd-Frank, Margin, 2021 SBS Top Up & Self Disclosure Letter Protocols
Prior experience onboarding asset managers and large funds
Minimum of 5 years’ experience
The expected base salary ranges from $82,000 - $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. #LI-Hybrid 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. #LI-MIZUHO Similar Jobs (1)
Non-Financial Regulatory Reporting locations New York, NY (1271 AOA/6th Ave) time type Full time posted on Posted 30+ Days Ago Mizuho is in growth mode as we are climbing the league tables, disrupting the status quo, and attracting top talent. Positions are available across our corporate functions, and on our corporate and investment banking, capital markets, advisory, research, sales & trading, derivatives, and financing teams. We are looking for candidates who want to contribute to our entrepreneurial culture where people at all levels are inspired to share ideas. Our creativity sets us apart, and our perseverance drives results in creating bespoke , client-focused solutions. If you are interested in advancing your career working for a firm with a growth mindset and the resources of a global financial services team, we would like to hear from you.
#J-18808-Ljbffr