William Trautmann Email and Phone Number

• Strategize with functional teams to develop and maintain a dynamic and efficient client offboarding process.• Collate, cleanse, interpret, and process data from 23 sources into single data repository. This data is used to identify transactional activity with customers and provides a means for assessing the scale of a customer’s digital footprint across Natixis’ core systems.• Perform ad-hoc customer activity checks to support compliance projects and ongoing remediation initiatives.• Coordinate, track, and report on progress of account closures within Natixis’ customer repositories.• Analyze upcoming KYC review schedules against current review completion rates providing monthly volume projections to management that ensure adequate staffing to handle future workload.• Developed and implemented a business-critical process management tool used by the KYC and AML vetting teams to track and conduct periodic reviews. This tool provides transparency on the status of periodic reviews by sourcing and cross validating data from Natixis’ open vetting log system and the CRM vetting application.• Automated weekly risk metrics from the periodic review tracker that are used by management and compliance to aid discussions with the Chief Risk Officer.• Identified and escalated several hundred active customers transacting with expired vetting statuses. Coordinated remediation efforts with the AML and KYC vetting teams and provided weekly progress updates to Compliance. • Serve as the NEO NY RPA business representative for the Client Management & Strategy Team. identify manual processes capable of automation with the UI Path robotic automation framework.

• Analyzed data from internal systems to identify active customer base. Cross-referenced client documentation housed in shared file system illuminating gaps requiring remediation. • Compiled complete and accurate customer records for import into new KYC and onboarding platform.• Implemented and oversaw a T+1 reconciliation process aimed at addressing situations where front office executed trades with customers in regions without appropriate due diligence documentation in place.• Utilized Python to parse Markit’s ISDA Amend OTC/Dodd-Frank Representations into an SQLite3 database enabling rapid classification and assessment of suitability of derivative products for a given customer. • Liaised with clients, front office, Credit, Legal, Operations, OTC Compliance, R&A, and Relationship Management to ensure customer documentation on file was accurate, complete, and appropriate for products transacted.• Performed quality assurance checks of KYC profiles identifying, reconciling, and escalating gaps and inaccuracies.• Led day-to-day amendments of customer information and instructed staff to update systems accordingly.• Streamlined data collection, reporting, process tracking, and verification of data entry. • Reduced operational risk through process improvements, naming conventions, and data standards.• Interfaced with process partners to drive remediations and collections of customer due diligence documentation. • Held dual role reporting to ANZ Banking Group and ANZ Securities Inc; acted as sole analyst responsible for onboarding of all new clients for ANZ Securities Inc.• Transitioned into a higher volume role responsible for onboarding of investment advisors and managed funds. Trained a replacement to fill the Review and Data Management position.

• Developed an Excel VBA account form utilized by front-office and relationship management: the account form is used for initiating the onboarding process of new customers and starting the review process of existing clients.• Monitored progress of work assignments across Credit, Compliance, Legal, Relationship Management, and R&A teams to provide upper management and stakeholders with reports detailing progression of onboarding process.• Conducted World-Check screenings of potential clients and researched negative findings to determine if results were false positives, immaterial, or warranted further escalation. Findings were relayed to stakeholders to aid in decisions of pursuing, maintaining or eliminating business relationships.• Onboarded customers in adherence with KYC and Customer Due Diligence (“CDD”) regulations. Drove onboarding process of ‘new to bank’ customers from initial identification to trade execution.• Sourced and verified customer documentation to ensure compliance and alignment across the Anti-Money Laundering (“AML”), Counter-Terrorist-Funding (“CTF”), Sanctions and Client Identification Program (“CIP”) policies and procedures.• Consolidated information across products, jurisdictions, and booking points to create accurate customer profiles. • Won ANZ Middle Office Excellence Award in 2014 for developing a program which automated World-Check screenings. This solution allowed for screenings to be conducted 85% faster with a 100% reduction in operational risk of manual error.

• Reviewed the credit quality of asset managers, hedge funds, insurance companies, and managed funds to establish product specific credit lines within ANZ’s global risk appetite.• Utilized models and financial statements to assess a customer's credit quality and establish credit limits in line with ANZ’s Jurisdictional Credit Approval Framework.• Developed Excel based monitoring models to track fund performance against alternative termination events with regards to ANZ’s risk appetite, the fund’s investment strategy, and net asset value.• Created tools that enabled ANZ to integrate 3rd party data directly into firm’s credit models reducing operation risk and manual touchpoints.