Onboarding Lead, Investment Advisors – AVP

Mizuho Financial Group Inc.; New York (NY); Hybrid; USD 77,000 - 105,000; Full time

Job summary

Mizuho Financial Group, Inc. seeks an onboarding specialist to support the onboarding process across divisions. You will coordinate end-to-end onboarding, compile KYC packages, perform due diligence, and conduct OFAC/Negative News checks to identify risks.

Collaboration with Front Office and clients is essential, with adherence to audits and regulatory standards. The role offers a hybrid work arrangement with some remote opportunities depending on role and local laws.

Qualifications

• Strong attention to detail and analytical skills.
• Excellent communication skills.
• Ability to effectively manage and report on progress of requests.

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.
• Prioritize onboarding cases to ensure completion before deadlines and liaise with Front Office and clients directly.
• Adhere to internal audit requirements and assist in efficiency improvements; determine industry codes (e.g., SIC/Sector Codes).
• Familiarity with Investment Advisor Public Disclosure and Edgar sites and related documentation (RIA, QIB, AML Wolfsberg questionnaire, etc.).
• Determine when full vs. streamlined KYC onboarding is required and coordinate with Legal, Compliance, Sanctions, Regulatory, Tax, and Operations.

Skills

Attention to detail

Analytical skills

Communication skills

Progress reporting

Education

Bachelor's degree or equivalent

Job description

Mizuho Financial Group, Inc. seeks an onboarding specialist to support the onboarding process across divisions. You will coordinate end-to-end onboarding, compile KYC packages, perform due diligence, and conduct OFAC/Negative News checks to identify risks.

Collaboration with Front Office and clients is essential, with adherence to audits and regulatory standards. The role offers a hybrid work arrangement with some remote opportunities depending on role and local laws.