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KYC Support / Training, Compliance, Account Management

Richmond County, NY
March 21, 2018

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Pamela M. Marshall, MS Staten Island, New York 10302-1924 917-***-****


Highly effective administrator with extensive experience in the financial service industry, including asset servicing, high profile account management, Trust Audit Accounting, and client onboarding. Demonstrated leadership ability in forging corporate vision and accomplishments of goals through the motivation and direction of others. Effective administrative skills provided by understanding organizational needs, and successfully executing initiatives with attention to detail and accuracy. Results-oriented professional with proven expertise in facilitating employee development in others through training, coaching, and mentoring. Additional qualifications include:

> KYC Support / Training > Risk Access / Control Processes

> Client Management / Due Diligence > Strong organization, project and time management skills

> Proactive Customer KYC Consultation > Efficient process management skills

> Market Regulations / Practices > Extensive statistical reporting skills


BNYMellon, Brooklyn, NY 1996 - 2016

Global Institutional Client Accounting & Reporting Supervisor II/ AVP

Global Institutional Accounting & Reporting Services (GIARS) Transformation Team (2013-2013)

Successfully managed the conversion of corporate trust accounts to a new custody platform and accounting system. Provided a single point of contact and instruction to clients and client service. Conversion and KYC issues were collaboratively analyzed and evaluated and solutions were provided for each situation.

Worked with project management team to create KYC/ AML and audit procedures for accounts that were set up on new custody and accounting platforms.

Supervised the successful migration of Trust accounting functions to off-shore teams. Created a Corporate Trust Client table to track issues encountered during migration. Coordinated and hosted training calls with client service and off shore Pune Trust accounting team to review KYC issues.

Managed effectively, motivated, and trained 25 Pune Trust Accounting employees from an off-site location. Participated and directed local management in setting and communicating the organization’s KYC goals and AML objectives which resulted in a fully self-sufficient off-shore accounting team

Interacted with banks’ Internal Audit department and external parties (Auditors) on behalf of newly established Global teams.

In addition, provided support and follow up to ensure the successful migration of accounting work for Middle Office Latin American (LATAM) and Domestic clients. Provided trust report education for these clients from an off-site location.

Created Investment Reconciliation and Dividend and Income Exception process documents that were distributed to onshore accounting teams. Facilitated calls with onshore accounting teams and offshore utility support teams to discuss the offshore team’s role in the organization.

Coordinated and managed additional multiple location realignment projects, consistently meeting aggressive deadlines and budgets. Projects included client cash from the Everett Global Institutional Accounting site to the Pittsburgh site, and Investment Reconciliation support from Everett and Pittsburgh to Pune, India.

Accurately reported volumes and statistics of offshore Trust accounting and utility support teams to upper management. Also created additional spreadsheets that specifically tracked the development and accomplishments of the newly expanded Investment Management Reconciliation and Control teams.

Pamela M. Marshall, MS Page 2

Global Institutional Client Accounting & Reporting Supervisor II/ AVP (1996 – 2013)

Supervised the workflow of a unit that was responsible for the KYC/AML maintenance of 10 high profile relationships that included over 600 portfolios: Consistently provided audited monthly, quarterly, and annual reports for equity, fixed, and global funds, Master Trust Allocation, and other customized reports before targeted deadlines.

Provided audited ERISA reporting, and interacted with external parties (Auditors) on behalf of clients.

Successfully managed the daily cash management workflow of the unit; processed and approved client directed foreign exchange (FX) currency movement, mutual fund trades, and outgoing Fed wires with no errors.

Managed a unit on the NYC Retirement accounting team since its 2004 inception; successfully converted client from prior Trustee. By 2013, the NYCERS relationship held 180 global and 1,500 equity and fixed income funds. Received the “Institution Services Certificate of Excellence” and “Asset Servicing Team Award” for work.

Collaborated daily with Clients, Client Service, Investment managers, and Product Management teams to address any concerns with trust reporting.

Worked with banks’ Internal Audit team to review trust reporting procedures.

Selected to train Global Client Reporting teams on an accounting platform that was new to the location; traveled off-site with two colleagues for three months to receive instruction. Established and implemented sound audit policies for the teams to follow. Received the “Asset Servicing Recognition Group Award” for project.

Servicing and the resolution of client inquiries (I.e. the monitoring and /or administration of overdrafts, cash balances, the verification of corporate action events, and assistance of Web Portal issues).


M.S. Banking Science, Mercy College, New York City, NY

B.B.A. Management Information Systems, Pace University, New York City, NY

Leadership Courses: Anti-Money Laundering (AML) training, Know Your Client (KYC) training, Managing Risk – Risk Culture Principles training, Leading Projects, Review RFP, Writing Proposals, Management for Non-Project Managers, Enhancing Organizational Talent, Imperfect leader, Managing Organizational Changes, Understanding Change, Business Coaching Essentials, Coaching for Results, Microsoft Excel 2016 Essentials, Designing Effective PowerPoint Presentations, Project Management Project Management Forum, NY State Notary training


National Association of Professional Women (NAPW)

National Council of Negro Women (NCNW)

American Bankers Association (ABA)

New York State (NYS) Notary Association

Association of Certified Anti-Money Laundering Specialists (ACAMS)

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