Operations, Client Services - Associate

Why Mizuho

Within the APAC entities of Mizuho Securities, our greatest asset is our people, and we are committed to promoting a vibrant and supportive environment full of opportunities. Just like our global client and customer base, our people come from diverse backgrounds and our success is supported by our creativity, teamwork, and collective abilities as individuals to exceed the dynamic needs of our customers.

We provide the stability of an international industry leader with the career trajectory of a growing business. Our strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone. With a focus on growing and expanding our platform across Asia, we are committed to attracting, hiring, retaining, and rewarding the best-in-class talent.

Job Description

• Manage the KYC process end to end

• Conduct analysis on the ownership structure of the client via publicly available source or company documentation to meet full KYC due diligence

• Perform various client checks including AML/KYC, World-Check, Professional Investor rules, CRS and FATCA in accordance with regulatory requirements

• Perform account documentation checking for new account opening and existing accounts

• Conduct name screening to assist due diligence check during new client on-boarding, periodic review, and event driven reviews

• Work closely with legal and Compliance on documentation requirements and ensure in compliance with regulatory controls

• Conduct enhanced due diligence for high-risk accounts/PEP and compile AML related escalations to Compliance

• Keep track with KYC on-boarding status and completion of follow up actions arising from periodic reviews and other on-going AML/KYC related matters

• Proactive communication with key stakeholders, Front Office, and clients regarding inquiries on AML/KYC requirements

• Handle customer enquiries and provide day-to-day customer services function

Role Prerequisites

• Knowledge of CDD/KYC and Account Opening is required with minimum 3 - 5 years of relevant experience

• Knowledge of KYC onboarding for Institutional and Corporate clients

• Understanding of MAS AML/KYC requirement is preferred

• Experience in Securities and Brokerage firms

• Proficient in both written and spoken English and Chinese

Key Behaviors /Competencies

• Good communication skills

• Work independently

• A good team player

• Be dynamic, proactive and self-motivated

• Good excel and PowerPoint skills