Client Onboarding – Investment Advisors/Funds Group, AVP

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

• Ability to prioritize onboarding cases to ensure completion prior to deadlines

• Liaise with Front Office and clients directly

• Review monthly Americas Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation

• Adhere to internal audit requirements

• Recommend and assist in requirements for efficiencies where needed

• Ability to determine industry codes (for example SIC/Sector Codes)

• 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).

• Ability to understand an Investment Advisor's organization structure, as well as, when full KYC Onboarding is required versus streamlined KYC Onboarding is required.

• Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and Operations

Skills and Competencies:

• Team player

• Independent, hardworking and eager to learn

• Strong attention to detail and analytical skills

• Good communication skills

• Appropriate and confidential handling of client data

• KYC Onboarding background, specific experience in Investment Advisors & Funds a plus

• Understanding of FINCEN requirements

• Experience working with Fenergo onboarding platform

• Knowledge of Dodd-Frank, Margin, 2021 SBS Top Up & Self Disclosure Letter Protocols

• Prior experience onboarding asset managers and large funds

• Minimum of 5 years' experience

The expected base salary ranges from $82, 000 - $125, 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, including Medical, Dental and 401K plans, successful candidates are also eligible to receive a discretionary bonus.

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