Client Onboarding – Investment Advisors/Funds Group – Vice President

Job description: 

Mizuho is seeking a dynamic, experienced, and proactive Vice President to join our KYC Client Onboarding team. This role is critical to driving efficient and compliant client onboarding processes while collaborating across multiple teams to manage complex client relationships and regulatory requirements.  

Key Responsibilities:  

• Support Team Leadership: Act as a primary support for the team manager, assisting with strategic onboarding processes and providing leadership oversight when necessary.  

• Team Communication & Coordination: Manage and prioritize communications within the team mailbox, escalating issues as appropriate to the team manager, and ensuring timely, clear communication with the Client Integration team to align and cascade priorities effectively.  

• Client Onboarding Management: Oversee and manage daily 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 excep