Rüdiger Sharotri-Kloss

Part of Client Experience focusing on Strategy and Client Change Projects. o Developed the team's global strategy & KPIs to achieve strategic goals and track progress. o New Software Delivery: Led a complex multi-region project to develop a new client reporting tool. o Digitalisation: Spearheaded the digitalisation the team’s workflow through MS Dynamics 365. o IT Change Manager for Client Projects: e.g. rebranding, front office migration (received internal reward). o Team Manager (Jun-Dec 2019): Led a team of four senior change analysts in Luxembourg and Italy.

Part of the Products & Strategy group that supports senior management with regulatory initiatives, drives business-focused and cross-platform projects o Program Control Officer (PCO) for Business Optimisation Project Contributed to a 3-year cost reduction initiative, driving profitability improvements and implementing Agile workflows o Managed the UK component of a multi-million CAD global business realignment program, consistently delivering milestones on time and within budget. Escalated delays and managed change control. o Operational process improvement: Led the Cross-Border Initiative, delivering a client engagement software tool, developing a global training program for 3200+ staff, and establishing a robust policy framework. o Project Managed regulatory submissions to Bank of England and Ontario Securities Commission.

Ensure adherence with UK regulation, setting high level standards, frameworks and controls to drive responsibility of business units as the first line of defence while supporting boards and committees as the oversight and decision making bodies with ultimate responsibility. + Governance and Regulatory (cross-business line initiatives) ▪ Active member of the UK Outsourcing Working Group to establish appropriate oversight of all UK outsourcing relationships as defined under SYSC 8 of the Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA) handbooks. ▪ Project manage the development of the UK outsourcing platform with IT, incorporating business objectives and user requirements. ▪ Part of the UK Governance Working Group with the aim to establish and implement a degree of delegation within the governance structure allowing for clear apportionment of accountability for each responsibility leading to a reduction of duplication, administration resources and required senior management time. ▪ Project manage ad-hoc PRA Thematic Reviews including FX, Payments and Business Continuity Plans (BCP) of the UK business in India. + Corporate Secretarial (UK Boards and Committees) ▪ Company Secretary and Committee Secretary: o Responsible for execution of Board of Directors and Committee meetings; prepare official board packs and minutes for review by the FCA and PRA, whilst maintaining the confidentiality and integrity of sensitive information. o Drive changes to the UK Corporate Secretarial function with the objective of making it more agile, efficient and a leader in governance to other company/committee secretaries across the firm. o Champion rollout of Diligent Boardbooks® application (online iPad tool for meeting materials). o Prepare, manage and deliver the board’s and committee’s annual performance self-evaluations; develop and create the implementation of recommendations.

+ Project Management - Project managed IT system access for new staff in India; liaised with IT, the offshore company and the business; escalated urgent issues to get them addressed and resolved immediately. ▪ Supported the Project Manager with migrating Operations to India; ensured deliverables were provided on time by all parties, prepared Project Management Documentation and Steering Committee presentations and supported Service Level Agreement (SLA) discussions. ▪ Organised and chaired global meetings, time managed appropriate levels of discussion with senior stakeholders to ensure all agenda items were covered. + Business Development - Developed and managed the testing plan for new MyStateStreet.com functionality for Private Equity and Real Estate EMEA clients.

+ Project Management – Initiated the set-up of the London Private Equity work-stream; developed product ideas and mock-up user screens, gathered feedback from key PE firms, actively collected and aggregated fund data. + Business Development - Responsible for German clients, managed relationships to gain an insight into the PE industry in Germany. ▪ Interviewed and pre-screened experienced PE and M&A candidates for roles in the London team.

+ Business Improvement - Started and managed the enhancement project of an outsourced team via daily calls and on-site training in Mumbai, India. ▪ Presented, discussed and challenged M&A guidelines with key financial advisors at the Global Advisor Roundtable held in Hong Kong. + Customer Service - Established global connections with banks and legal advisory firms to promote the M&A product. ▪ Planned and managed an M&A seminar for clients with over 150 attendees; collected and analysed feedback to improve the M&A function.