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.
Key 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
The expected base salary ranges from $ 65,000 - $90,000. 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, 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
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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