KYC / Client Onboarding Associate (Institutional Clients)

Responsibilities

• 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
• Review Dodd‑Frank regulatory information and determine sufficiency based on regulatory requirements
• Evaluate Investment Advisor organizational structures and determine full vs. streamlined KYC onboarding requirements
• Ensure client packages adhere to internal audit standards and global policies
• Liaise directly with Front Office and clients to collect and assess required AML and regulatory documentation
• Partner with Legal, Compliance, Sanctions, Regulatory, Tax, and Operations to ensure timely account opening
• Identify and recommend process efficiencies
• Prioritize onboarding cases to meet deadlines
• Determine industry codes (e.g., SIC/Sector Codes)
• Resolve day‑to‑day onboarding issues and escalate as required
• Maintain ownership of onboarding experience and client satisfaction
• Demonstrate strong awareness of business risk and accountability for issues
• Required Qualifications & Skills
• Series 99
• Prior KYC onboarding experience
• Strong regulatory and product knowledge
• Highly organized, detail‑oriented, and results‑driven
• Strong project management and multitasking skills
• Ability to work independently in a fast‑paced environment
• Team‑oriented with a client‑first mindset
• Strong judgment and problem‑solving skills
• Excellent written and verbal communication skills
• Experience working with Front Office
• Ability to handle confidential client information appropriately
• Bachelor's degree
• Other requirements
• Company Overview
• 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.
• #LI-MIZUHO

Benefits

Additional Information

Job Summary Support the direct team manager on all onboarding processes as part of the Institutional Onboarding pod. This role partners closely with Sales, Clients, Credit, Compliance, Legal, and Regulatory Operations to onboard new institutional clients efficiently and in accordance with AML and regulatory requirements.

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