Job Summary: 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.
Major 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.
Skills and Competencies: - 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.
The expected base salary ranges from $68,000 - $95,000. 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 requirementsMizuho 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
