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

OTHER REQUIREMENTS

Mizuho currently requires employees to be fully vaccinated against COVID-19 to work on-site (unless a legally-required accommodation or exemption has been approved). Mizuho has in place a pilot remote 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.

COMPANY OVERVIEW

Mizuho Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho’s operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at mizuhoamericas.com.

Mizuho Bank Ltd. 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 perform pre-employment substance abuse testing.

We are a leading global bank, with one of the largest customer bases in Japan, and a global network of financial and business centers. We continue to pride ourselves on our "customer first" principle as a centerpiece in servicing both our individual and corporate customers, with the goal of becoming their most trusted bank.