Client Onboarding - Investment Advisors/Funds Group - Vice President

aily onboarding requests across all Mizuho divisions, coordinating end-to-end onboarding processes to meet critical deadlines and regulatory standards.

• KYC Due Diligence: Prepare and execute comprehensive KYC packages, performing in-depth due diligence on new clients in accordance with risk ratings, including requirements for FinCEN, Enhanced Due Diligence, and other critical regulatory needs.

• Risk Assessment & Screening: Conduct OFAC and Negative News screenings on clients and their associated parties, identifying and assessing potential risks to the firm and ensuring adherence to regulatory requirements.

• Regulatory & Compliance Expertise: Ensure all client onboarding cases comply with KYC and broader regulatory guidelines, collaborating with internal teams, including Compliance, Sanctions, Regulatory, and Tax operations, to maintain alignment.

• Client Interaction: Establish and maintain effective communication with the Front Office and clients to ensure a seamless onboarding experience and address complex queries.

• Process Improvement: Identify , recommend, and implement process efficiencies, driving continuous improvement initiatives to streamline the onboarding experience and ensure regulatory compliance.

• Documentation Proficiency: Maintain familiarity with key regulatory documentation, such as AML letters, QIB, 2111, AML Wolfsberg Questionnaire, and Prime Broker Agreements, while utilizing resources like Investment Advisor Public Disclosure and Edgar sites to assess client structures.

• Analytical Competence: Deep understanding of investment advisors' and fund organizational structures, leveraging expertise to enhance risk evaluation and client onboarding processes.

Skills and Competencies:

• Education: Bachelor's degree or equivalent is required .

• Experience: Minimum of 5+ years of KYC experience at a financial institution, with demonstrated expertise in regulatory compliance, risk assessment, and due diligence processes.

• Leadership Potential: Previous leadership or team management experience is highly desirable, showcasing the ability to lead, inspire, and enhance team performance.

• Communication & Coordination: Strong communication skills, coupled with exceptional organizational abilities and a proactive mindset to manage complex, time-sensitive onboarding cases.

The expected base salary ranges from $91,000.00 - $130,000.00. 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, successful candidates are eligible to receive a discretionary bonus.

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 https://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.

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