LikeRemoteClient Onboarding - Investment Advisors/Funds Group - Associate
šŗšø United States
Management
Finance
Sales
Legal
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$77,000.00 - $105,000.00
Client Onboarding - Investment Advisors/Funds Group - Associate
from šŗšø United States
$77,000.00 - $105,000.00
Job description:Ā
āÆĀ
Major Responsibilities:Ā
- Support direct team manager for all onboarding processesĀ Ā
- Manage daily onboarding requests for all divisions of MizuhoĀ Ā
- End to end onboarding coordinationĀ Ā
- Compose KYC packages and perform due diligence on new clients based on risk rating includingFinCen requirements and Enhanced Due DiligenceĀ
- Conduct OFAC and Negative News searches on clients and related parties toidentify and assess potential risk to the firmĀ
- Ability to prioritize onboarding cases to ensure completion prior to deadlinesĀ
- Liaise with Front Office and clients directlyĀ
- Adhere to internal audit requirementsĀ Ā
- Recommend and assist in requirements for efficiencies where neededĀ
- Ability todetermine industry codes (for example SIC/Sector Codes)Ā
- Familiarity with Investment Advisor Public Disclosure and Edgar sites, along with necessary documentation (ie: RIA, QIB, 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets & 151 Prime Broker Agreements).Ā Ā
- Ability to understand an Investment Advisorās organization structure, as well as, when full KYC Onboarding isrequired versus streamlined KYC Onboarding isrequired.Ā Ā
- Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and OperationsĀ
Skills and Competencies:Ā
- Bachelor's degree or equivalentĀ
- Strong attention to detail and analytical skills. Appropriate and confidential handling of client dataĀ Excellent communication skillsĀ Ā
- Ability to effectively manage and report on progress of requestsĀ
The expected base salary ranges from $77,000.00 - $105,000.00. 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 thenature 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.Ā Ā
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 Greenhillā, 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. Visitwww.mizuhoamericas.com.āā
Mizuho AmericasĀ offers a competitive total rewards package.
We are an EEO/AA Employer -Ā M/F/Disability/Veteran.
We participate in the E-Verify program.
We maintain a drug-free workplaceand reserve the right to require pre- and post-hire drug testing as permitted by applicable law.
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