Alok Bhalla
- Role
- Assistant Vice President at Mizuho
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Alok Bhalla
Available for new oppurtunities
Experience
Assistant Vice President
May 2022 — Present
Support direct team manager for all onboarding processes • Manage daily onboarding requests for all divisions of Mizuho o End to end onboarding coordination o Compose KYC packages and perform due diligence on new clients based on risk rating including FinCen requirements and Enhanced Due Diligence o 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 • Assist in Regulator and Internal Audit inquiries • Recommend and assist in requirements for efficiencies where needed • Ability to recognize industry codes (for example SIC/Sector Codes) • Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and Operations
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