Responsibilities:

• Support direct team manager for all KYC 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

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.