As one of the largest and most successful auditing and consulting firms, PwC must constantly find the best ways to help clients manage risks and meet compliance obligations. Find out how they used Paxata and Cloudera to accelerate their analytics process along with lessons learned that can apply to your own organization’s data-to-information pipeline. 3 things to know: 1. This webinar covered how PwC addressed key challenges like data silos, inconsistent data, and resource constraints to get better regulatory controls. 2. PwC was able to optimize their ETL process with Paxata and Cloudera for data prep and get away from manual processes that constrained how much data they could ingest and ingest efficiently 3. PwC worked to implement data systems that didn't tie down the organization to depend fully on IT. Essentially freeing up the time of analysts to quickly prep and ingest data.

1. 1© Cloudera, Inc. All rights reserved.
How PwC is Transforming Their
Analytics with A Modern Data-
to-Information Pipeline
Meeting today's regulatory compliance challenges:
Accelerated compliance with next-generation data
management

2. 2© Cloudera, Inc. All rights reserved.
Today’s Presenters
Seth Rosensweig
Partner of Advanced
Risk and Compliance
Analytics Solutions
PwC
Rik Tamm-Daniels
VP Technology and
Partnerships
Paxata
Mihaela Risca
Financial Services
Solutions Marketing
Manager
Cloudera

3. 3© Cloudera, Inc. All rights reserved.
The Big Picture
1. Several disparate and siloed data sources
2. Inconsistent data quality
3. Dependence on resource-constrained IT
4. Lack of auditability
5. Difficulties scaling
6. Varying levels of standards and enforcement
Some of the most
common data
management
challenges can be
addressed with the
right mix of
governance,
people, processes,
and technology.
Many organizations in highly regulated industries, such as financial services, continue to struggle to meet the
informational demands of regulators and other stakeholders. Building better data management and analytical
capabilities is key to meeting these demands.
Common data challenges in regulatory compliance

4. 4© Cloudera, Inc. All rights reserved.
Regulatory Compliance in the Modern World
Data Source
Abstraction
1
Leave data where it is to avoid
the cost and hassle of
consolidation, but use tools
that flexibly adapt to various
data sources and types.
Business Driven
Data Quality
2
Business users understand
causes & impact of data
quality issues best. Empower
them to monitor and improve
data quality.
Data
Democratization
3
Give data saavy business users
access to data they need, in a
way that mitigates risk but is
flexible enough to provide
insight.
Tool-Enabled
Auditability
4
Modern data technologies
include mechanisms that
trace lineage, transformations
and changes to data as it is
prepared for use and output.
Big Data
Platform
5
Data volumes continue to
grow. Leverage infrastructure
that is scalable and can meet
the storage and processing
demands of large data sets.
Data
Governance
6
Taking a new approach to
data management requires a
renewed focus on data
governance standards,
ownership, and control.
Addressing data challenges in today’s regulatory environment
Some of the most common data management challenges can be addressed with the right mix of governance,
people, processes, and technology.

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Challenges With Traditional Compliance Architectures
Enterprise Data Warehouse
ApplicationsData Sources Operational Data Stores
Traditional Architecture
Enterprise Data Warehouse
ServeELT
Archive
BI System
Modeling
Reporting
ETL
HPC GRID
Storage #2
Storage #1
Ingest
Process
Load
Unstructured
Financial
Ledger P&L
Risks
Market,
Counterparty,
Ratings
Payments
Collections
Charges
Ingest
Ingest
Portfolio
Contracts
Portfolio

6. 6© Cloudera, Inc. All rights reserved.
New Compliance Architecture with Big Data
ApplicationsRisk Data Sources Cloudera Enterprise Data Hub (EDH)
Modern Architecture
EDHIngest
Active Structured Data
Serve
Serve
Archive
Load
Data
Preparation
BI System
Modeling
Reporting
Enterprise Data Warehouse (EDW)
Portfolio
Contracts
Portfolio
Unstructured
Financial
Ledger P&L
Risks
Market,
Counterparty,
Ratings
Payments
Collections
Charges
Compute
Transform
Storage

7. 7© Cloudera, Inc. All rights reserved.
Managing Data for Comprehensive Regulatory Compliance
Handle real-time
data ingest from
diverse sources
Governance and
Security
Data Streams
Deployment Flexibility
Machine Learning
Capabilities
Diverse Analytical
Options
Enterprise Data Hub
Scale easily & Cost
effectively
Batch or Real- time
Data Streams
Data Sources
A comprehensive data management platform to support more accurate and efficient compliance
Data Sources
Data Storage &
Processing
Reporting, Analytics &
Auditing
Data Ingest
Other
Data Governance (Data Lineage, Data Protection)
Data workflows and policies
Data Preparation

8. 8© Cloudera, Inc. All rights reserved.
Where the rubber meets the road
UDAAP Monitoring
(Unfair, Deceptive, or Abusive Acts or Practices)
Volcker Rule Independent Testing
DOL Fiduciary Rule Risk Surveillance
Part 504 BSA/AML Compliance
PEP Screening and Internal Investigations
(Politically Exposed Persons)
Use cases in regulatory compliance
Regulators are shining the spotlight on the importance of data in matters of compliance. They have also
become more sophisticated in their own techniques and capabilities. We can help clients leverage their data
and improve their regulatory compliance technology platforms to suit a wide range of use cases.

9. 9© Cloudera, Inc. All rights reserved.
Demonstration Overview
Regulators have tightened their focus on watch list screening programs and are
levying significant penalties; since 2004, financial institutions have received fines
totalling $14.8 billion for violating U.S. economic sanctions alone.
Geopolitical uncertainty, rapid policy change, conflict of laws, and watch list
management are just some of the challenges that make screening and
investigations difficult for global organizations.
Financial institutions are benefiting from innovation in surveillance technology,
but many still struggle with the complexities inherent to watch list screening,
such as name matching, PEP determination, related party due diligence, and
data quality.
Increased use of data-driven tools and techniques, including negative news
scanning, alert consolidation, and link analysis, can enhance screening program
and investigation efficiency and efficacy.
PEP watch list screening
Per the Financial Action Task Force (FATF), PEPs are defined as individuals who are or have been entrusted with prominent
public functions either domestically or by a foreign country. Examples include heads of state, senior politicians, judicial or
military officials, or political party officials.

10. 10© Cloudera, Inc. All rights reserved.
A large organization that often makes institutional donations to charities wants to reduce their risk and be compliant by
ensuring they aren’t giving donations to charities with PEPs on their boards of directors.
Our example user will conduct a simplified analysis of whether there are any charity donations tied to
individuals on the most recent version of the OFAC watch list.
Demonstration Overview
Field Description
ent_num OFAC entity number
sdn_name Name of politically exposed
person or entity
sdn_type entity type – e.g. individual,
company, vessel
program Sanctions regulation tag
remarks Includes info about the
person like DOB and
country
Field Description
charity_
name
Name of the charity
tax_id Charity tax ID
street Charity address – street
city Charity address – city
state Charity address – state
zip Charity address – zip code
board_
members
Comma separated list of
charity board members
charity_id Internal ID for each charity
Field Description
charity_id Internal ID for each
charity
submitter_id User ID of person who
submitted the
contribution
approver_id User ID of internal
approver
contribution
_amount
Amount of money
donated to the charity
contribution
_date
Date of the contribution
OFAC Watch List Affiliated Charities Donations / Distributions
Detecting donations and distributions to PEP-related charities

11. 11© Cloudera, Inc. All rights reserved.
Demonstration
Internal Investigations for Politically Exposed Persons (PEPs)

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Why Cloudera and Paxata?
Key Requirement Cloudera (Infrastructure) Paxata (Application) Paxata + Cloudera
Raw Data Agility ✅ ✅ ✅
Tool Enabled Auditability ✅ ✅ ✅
Big Data Platform ✅ ✅ ✅
Governance ✅ ✅ ✅
Key Requirement Paxata (Application) Paxata + Cloudera
Data Democratization ✅ ✅
Business-Driven Data
Quality
✅ ✅
Data Management Requirements
Business Information Requirements

13. 13© Cloudera, Inc. All rights reserved.
How the solution works behind the scenes
Paxata
CDH Spark CDH (HDFS)
Data Consumer
(Analytics, Visualization,
Reporting, Applications)
Hive
Impala
HCatalog
CSV
Data LibraryPreparation
Engine
Application Services Layer
Data Prep Application
HDFS
ClickToPrep™
REST API
REST APIs
Managed Data
(OLAP, OLTP, RDBMS)
CDH
(Enterprise Data Hub)
Local File
JDBC
ODBC
Browser
Upload
CSV,
Excel, XML,
JSON, Avro,
Parquet
REST APIs
External ClientREST API

14. 14© Cloudera, Inc. All rights reserved.
To Learn More
PwC
http://www.pwc.com
Follow us: @PwC_LLP
seth.rosensweig@pwc.com
Paxata
http://www.paxata.com
YouTube: http://youtube.com/PaxataTV
Follow us: @Paxata
Booth 301 @ Strata+Hadoop World NYC
Cloudera
http://www.cloudera.com/solutions/risk.html
Follow us: @Cloudera
Booth 721 at Strata+Hadoop World NYC #StrataHadoop

15. 15© Cloudera, Inc. All rights reserved.
Thank you
Questions?