Client Onboarding Associate / KYC

Job Summary

The Onboarding Associate will join the Underlying Principles onboarding team to support the Front Office Sales/Trading, Internal Stakeholders (Credit, Legal, Compliance, Ops), and external Clients in efficiently completing new client onboarding.

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.
• Ensure onboarding documents (account opening forms, tax forms, formation documents, ADV, suitability certificates, QIB, AML letters, Wolfsberg Questionnaire, and Prime Broker Agreements) are accurate, complete, and relevant.
• Manage onboarding priorities to meet deadlines.
• Create client records, aligning 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.

Qualifications

• Bachelor’s degree
• FINRA SIE & Series 99 (or willing to obtain within 6 months of hire)
• Strong analytical skills and attention to detail, handling 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

Benefits

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.

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.

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.