Client Onboarding Associate / KYC

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

Benefits offered by this job

Medical insurance

Dental coverage

401K plan

Discretionary bonus

Job summary

Mizuho in the United States seeks an Onboarding Associate to join the Underlying Principles onboarding team and collaborate with Front Office Sales/Trading, Credit, Legal, Compliance, Ops and external clients to onboard new clients efficiently.

You will review submissions for funds and entities, obtain KYC/CIP and regulatory documents, verify account setup materials, and ensure compliance with internal policies and global AML requirements, while coordinating across teams to meet deadlines.

Qualifications

• Bachelor's degree required.
• FINRA SIE & Series 99 (or willingness to obtain within 6 months).
• Familiarity with Fenergo.
• Strong analytical skills and attention to detail with confidential data handling.
• Excellent written and verbal communication skills.
• Self-motivated with ability to work independently and manage priorities.

Responsibilities

• Review onboarding submissions for funds, SPVs and other entities.
• Coordinate with Front Office teams and clients to obtain KYC/CIP and regulatory docs.
• Review onboarding documents for accuracy, completeness and relevance.
• Ensure onboarding docs comply with internal audits and AML requirements.
• Manage onboarding priorities to meet deadlines.
• Create client records with correct client type and business activities.
• Conduct OFAC and adverse media screenings.
• Review regulatory documentation for compliance.
• Collaborate with Legal, Compliance, Sanctions, Tax and Operations.
• Utilize external research sources (IAPD, EDGAR, GL...
• Identify and support process improvement initiatives.

Skills

Bachelor's degree

FINRA SIE

Series 99

Fenergo familiarity

Analytical skills

Attention to detail

Written & verbal communication

Independent work

Education

Bachelor's degree

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.

Major Responsibilities

• Review onboarding submissions for funds, SPVs, and other investment managermanaged entities.
• Partner with Front Office teams and clients to obtain required KYC/CIP, regulatory, andaccount setup documentation.
• Review onboarding documents (e.g., account opening forms, tax forms, formationdocuments, ADV, suitability certificates, QIB, AML letters, Wolfsberg Questionnaire, andPrime Broker Agreements) for accuracy, completeness, and relevance.
• Ensure onboarding documentation complies with internal audit, MUSO Policy, andglobal KYC/ AML requirements.
• Manage onboarding priorities to meet deadlines.
• Create client records, ensuring alignment of client type, industry classification, businessactivities, 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 teamsto facilitate timely onboarding and account openings.
• Utilize external research sources, including IAPD, EDGAR, GLEIF, Secretary of Statedatabases, 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 confidentialclient 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 Americasoffers 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.

#LI-MIZUHO