Mary Power has over 20 years of experience in Know Your Customer (KYC) analysis and client on-boarding. She has worked at several major banks, including Deutsche Bank, Barclays, Brown Brothers Harriman, and BNY Mellon. At her positions, she performed KYC screening on new and existing clients to ensure compliance with regulations. She also led projects to remediate client files and improve documentation procedures. Prior to her career in compliance, she worked at BNY Mellon Capital Markets, where she on-boarded new accounts, managed client relationships, and ensured FINRA record-keeping compliance. She has FINRA Series 7, 63, and 24 licenses and volunteers with 9/11 memorial and Red Cross blood drives

1. Confidential
MARY A. POWER
1489 East 8 Street
Brooklyn, NY 11230
718-812-2085 mapower54@optonline.net
 New Account Client On Boarding  Client Communications  FINRA Regulations  AML / KYC
 Retail & Institutional Clients  Trade Documentation  Estate Account Management  Project Management  Instruction
Coaching & Mentoring
PROFESSIONAL EXPERIENCE
Deutsche Bank - KYC Analyst - On boarding February 2014 - January 2016
Project 1 -Performed a look back remediation on long term clients. Performed a second review of all required KYC
documents for existing clients as required by Global KYC Procedures. Recommended escalation for AML review as
required from existing client files. Reviewing results for Compliance submission.
Project 2 – reviewed Front Office submissions for new accounts and account updates. Approved new accounts for
KYC requirements based on completion of all required documentation and information.
KYC Analyst to Corporate Trust – worked with CAT tool, a proprietary system used to raise KYC adoptions and
extensions. Working within US Patriot ACT and OFAC KYC requirements, identifies the parties to upcoming deals
from draft agreements. Parties were identified and contacted for required documentation.
Barclays Bank - KYC Analyst - August 2013 - November 2013
Performed the required KYC screening on existing clients by documenting and corroborating the information obtained
on the client as required by the Global KYC Procedures. Analyzed client data, documentation and negative news.
Reviewed and ensured all required AML / KYC Regulatory requirements for existing clients were still in place.
Brown Brothers Harriman KYC Analyst - June 2012 - June 2013
Worked with the Risk Management Department to review and remediate client files. Determined completeness and accuracy
of documents. Reviewed and converted client CID files to the electronic platform.
BNY Mellon Bank, KYC Analyst - August 2011 Used expert knowledge and experience with KYC guidelines for
client on-boarding but specifically worked to collect the appropriate documentation required in order to effectively on-
board PNC Alternative Investment clients onto BNY Mellon’s platform. Also provided professional support to the
custody client service team (within Alternative Investment Services) in supporting all aspects of account opening.
Monitored various databases daily to ensure all changes are updated and modified in order to meet client performance
standards and service level agreements and to minimize risk.
BNY MELLON CAPITAL MARKETS, New York, New York  Nov 1999 – Mach 2010
New Accounts On boarding and KYC specialist Senior Trading Assistant /: Team leader for newly formed Know Your
Customer and New Accounts group.Worked on the development and testing of an in-house depository systemcreated to improve
physical and electronic document retention. Supervised and trained new accounts staff of 6 consultants. Directed projects to
receive, review, code, and categorize due diligence, legal, and client documents entry into company system. Reviewed remediated
daily reports for department. Served as point-person for on-boarding clients for institutional trading desk. Collaborated with
compliance group to ensure integration and implementation of SEC/FINRA and MSRB rules and regulations within new group
operations.Researched due diligence issues with focus on foreign institutional accounts.Ensured compliance with Patriot Act,
Sarbanes-Oxley and OFAC procedures.
Traded treasuries and fixed income products,working closely with 3 fixed income sales representatives.Managed high net wort h
client relationships, serving as trusted advisorto retail and institutional customers. Settled trades and resolved issues.Opened new
accounts.Researched problems and quickly applied solutions.Developed and presented performance reports and charts. Processe d
estate accounts,Provided in-house expertise during transition from self-clearing to clearing services corporation operation.
Ensured FINRA compliance on records retention and used documentation to manage client inquiries.

2. Confidential
Compliance and Procedural Initiatives:
Assessedover3,000 physicalfiles and re-created over30% of active account files within 6-week time frame; remediated New
Account file systemformandatory compliance reassessment by leading teamof 6 in review ofevery folder to purge inactive
accounts,in re-creation ofmissing folders for active accounts,and creation ofmissing document report.
Played key role in creating FINRA compliant document tracking systemby partnering with consultants; directed uploading of
all physicaldocuments to system.
Led team in meeting all internal compliance audits deadlines on-time.
Corrected issues of trade clearing and tax reporting to resolve cost of trade breaks and enable Derivative Execution trading desk
to increase volume of trades and clients serviced by 20% by properly identifying Debt Equity trades as third party custody
clients and by establishing procedures for trading desk.
Key Accomplishments:
Served as in-house estate accounts specialist, using trading acumen and interpersonal skills to analyze positions and
provide advice to families in a compassionate manner.
Took swift action to assist widowed client with liquidating non-income producing bonds; satisfied margin call prior sharp
market correction, avoiding liquidation of income-producing bonds.
Created detailed maturity reports that enabled continued payments after records were lost following the 9/11 attacks.
Conducted forensic accounting research to resolve client inquiries about payments, using retained records to reconstruct
transactions.
Successfully lobbied for creation of a new department and worked closely with legaland compliance personnelto establish
fully compliant operation.
Skillfully trained and managed interns, offering career skills development through exposure to industry operations as well
as personal coaching and mentoring.
Received numerous salary increases and bonuses in recognition of outstanding performance.
EDUCATION
Associate of Applied Science in Theatre Production
Kingsborough Community College, Brooklyn. New York
New York State Regents Diploma
20 years experience commensurate with bachelors’ degree
PROFESSIONAL LICENSURE
FINRA Licenses: Series 7, 63 & 24 (April 1986 - March 2012)
VOLUNTEERISM
911 Memorial - 600 plus hours – as Volunteer and Docent
American Red Cross – Gallon Club – Whole Blood and platelet donor