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Mizuho · 1 day ago

Client Onboarding – Investment Advisors/Funds Group, Associate / AVP

New York, NY

Full-time

Hybrid

Mid, Senior Level

$50K/yr - $125K/yr

Mizuho Financial Group, Inc. is a leading global financial services provider, and they are seeking an Associate / AVP for their Client Onboarding team. The role involves supporting onboarding processes for new clients, conducting due diligence, and ensuring compliance with regulatory requirements.

BankingFinancial ServicesImpact Investing

Comp. & Benefits

H1B Sponsor Likely

Responsibilities

Compose KYC packages and perform due diligence on new clients based on risk rating including FinCen requirements and Enhanced Due Diligence without immediate direction or supervision

Conduct OFAC and Negative News searches on clients and related parties to identify and assess potential risk to the firm

Ability to determine and review Dodd Frank regulatory information provided by the client and determine if sufficient based on regulation

Evaluate an Investment Advisor’s organization structure as well as determine when full KYC Onboarding is required versus streamlined KYC Onboarding is required

Ensure client packages adhere to internal audit requirements through the judgement made from understanding of global policies

Liaise with Front Office and clients directly to collect and evaluate the efficiency of all documentation required to adhere to both AML and regulatory requirements

Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and Operations to coordinate the efforts of all teams and ensure that accounts are opened in a timely manner

Familiarity with and strong grasp of 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)

Recommend and assist in requirements for efficiencies where needed

Prioritize onboarding cases to ensure completion prior to deadlines

Determine industry codes (for example SIC/Sector Codes)

Qualification

KYC processesDue diligenceRegulatory complianceAnalytical skillsCommunication skillsAttention to detailIndependent work

Required

Bachelor's degree or equivalent

Strong attention to detail and analytical skills. Appropriate and confidential handling of client data

Excellent communication skills

Ability to work without immediate direction and supervision and effectively manage and report on progress of requests

Benefits

Medical

Dental

401K plans

Discretionary bonus

Company

Mizuho

This is not your typical financial institution. It’s our people who make us a cut above.

Tokyo, Tokyo, JPN

10001+ employees

https://www.mizuhogroup.com

H1B Sponsorship

Mizuho has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (49)

2024 (23)

2023 (43)

2022 (12)

2021 (10)

2020 (1)