Job description
:Major 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
- 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:
- Bachelor's degree or equivalent
- Strong attention to detail and analytical skills. Appropriate and confidential handling of client data Excellent communication skills
- Ability to effectively manage and report on progress of requests
The expected base salary ranges from $77,000.00 - $105,000.00. 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, successful candidates are eligible to receive a discretionary bonus.
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
