Client Onboarding Associate / KYC

Mizuho Financial Group Inc.; New York (NY); Hybrid; USD 68,000 - 95,000; Full time

Job summary

Mizuho Financial Group, Inc. is seeking an Onboarding Associate who will join the Underlying Principles onboarding team and work closely with Front Office Sales/Trading, Internal Stakeholders and external Clients to onboard and complete new client onboarding efficiently.

You will review onboarding submissions for funds, SPVs, and investment manager entities, obtain KYC/CIP and regulatory documentation, and ensure all forms meet internal and global KYC/AML requirements.

Qualifications

• Bachelor’s degree and FINRA SIE & Series 99 (or willingness to obtain within 6 months of hire).
• Fenergo familiarity.
• Strong analytical skills and attention to detail, with the ability to handle 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.

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.
• Review onboarding documents (e.g., account opening forms, tax forms, formation documents, ADV, suitability certificates, QIB, AML letters, Wolfsberg Questionnaire, and Prime Broker Agreements) for accuracy, completeness, and relevance.
• Ensure onboarding documentation complies with internal audit, MUSO Policy, and global KYC/ AML requirements.
• Manage onboarding priorities to meet deadlines.
• Create client records, ensuring alignment of 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.

Skills

Analytical skills

Communication skills

Independent / self-motivated

Attention to confidentiality

Education

Bachelor’s degree

FINRA SIE & Series 99

Tools

Fenergo

Job description

Job Summary

Onboarding Associate will be part of the Underlying Principles onboarding team and will work closely with Front Office Sales/Trading, Internal Stakeholders (Credit, Legal, Compliance, Ops) and external Clients to onboard and complete new client onboarding in a timely and efficient manner.

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.
• Review onboarding documents (e.g., account opening forms, tax forms, formation documents, ADV, suitability certificates, QIB, AML letters, Wolfsberg Questionnaire, and Prime Broker Agreements) for accuracy, completeness, and relevance.
• Ensure onboarding documentation complies with internal audit, MUSO Policy, and global KYC/ AML requirements.
• Manage onboarding priorities to meet deadlines.
• Create client records, ensuring alignment of 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.

Skills and Competencies

• Bachelor’s degree FINRA SIE & Series 99 (or willingness to obtain within 6 months of hire)
• Familiarity with Fenergo
• Strong analytical skills and attention to detail, with the ability to handle 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

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.

#LI-Hybrid

Other requirements

Mizuho 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.

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. Mizuho Americas 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 reserve the right to require pre- and post-hire drug testing as permitted by applicable law.

Why Mizuho

Mizuho is in growth mode as we are climbing the league tables, disrupting the status quo, and attracting top talent. Positions are available across our corporate functions, and on our corporate and investment banking, capital markets, advisory, research, sales & trading, derivatives, and financing teams. We are looking for candidates who want to contribute to our entrepreneurial culture where people at all levels are inspired to share ideas. Our creativity sets us apart, and our perseverance drives results in creating bespoke, client-focused solutions. If you are interested in advancing your career working for a firm with a growth mindset and the resources of a global financial services team, we would like to hear from you. For more information, please view our Recruiting Brochure

#LI-MIZUHO