Stephen Alcorn Email & Phone Number

Sydney, New South Wales, Australia

As a Senior Specialist within ASIC's Market Supervision team, Stephen provides strategic advice and leadership in the supervision of market participants, including investment banks, stock brokers and related market-facing entities. Stephen led the review of compliance with design and distribution obligations within retail OTC derivative issuers and is now a key member of the team reviewing the changing dynamics between public and private markets.

Mudgee

Helping support local business in the Mudgee region

Mudgee, Nsw

Assisting clients in the Mudgee, Dubbo and Central West area to achieve their financial and lifestyle objectives through their investment, superannuation, insurance and other financial strategies.After 30 years in Financial Services in Sydney and Perth, Stephen embarked on a "tree change" and new lifestyle in the boutique wine and food region of Mudgee, NSW from December 2018. Stephen joined Profile Financial Services as a Financial Adviser, covering Mudgee, Dubbo and the Central West region, and really enjoyed being able to connect directly with clients and help improve their financial well-being. Stephen passed the FASEA Financial Advisor Exam in December 2019 and completed his Graduate Diploma in Financial Planning in January 2021.

Sydney, Australia

I led the small team who were building partnerships and developing bespoke solutions for Institutional investors in Australia and New Zealand, including superannuation funds, Government agencies and insurance companies. • Instrumental in developing and implementing strategy to re-launch and rebuild J.P. Morgan Asset Management’s Institutional business in Australia;• Led and managed institutional sales team – always setting an example of the highest personal values and hard work, complemented by a positive culture of engagement, empowerment and encouragement.• Focused on institutional consultative sales and developing long-term strategic relationships with clients; Achieved strong Institutional Sales, including winning largest new Aust/NZ client in over 10 years;• Director – JPMAM Australia Board and JPMAM Australia Executive Committee; • Introduced many new marketing initiatives to engage with institutional clients, including weekly research newsletter, quarterly Market Insights economic update lunches, and regular “product expert” roundtable lunches;• Focused on Real Assets (unlisted infrastructure and property), Global Equities, Absolute Return and Multi-Asset strategies, with particular interest in Responsible Investing/ESG implementation.• Managed marketing and expense budgets – was able to achieve y-o-y reductions through increased use of targeted technology, and implementing efficiency initiatives;• Encouraged a “run it like you own it” philosophy to further increase personal accountability and engagement for my team;• Elected Staff Representative – JPM Aust. Staff Superannuation Fund; • Hosted approx. 18 roadshows each year – highlighting JPMAM’s investment expertise to institutional clients, and arranged for over 120 client visits each year to JPM offices in New York, London and Hong Kong;• Participated in JPM’s “Leadership Edge” management development program (2016).

Perth, Australia

Due to a family bereavement, I was based in Perth, Western Australia from March – December 2013. During this time I was engaged to deliver strategic and tactical advice to St Stephen’s School on the establishment of their Development Office. The St Stephen's School Development Office is responsible for raising the profile of the School, and also to develop a dynamic, innovative entity (Foundation), embraced and supported by parents, alumni and the community. The Development Office manages a Foundation for capital raising, the establishment of an Alumni support and engagement program for former students and staff, and closer integration of Marketing, Communications and Admissions Departments.This was an exciting project, starting with a blank canvas, to incorporate the best practices in fundraising and educational marketing, and to create a sustainable entity which allows the School to provide direct benefits not only for current students but future generations within the St Stephen’s community.

Sydney / Melbourne

Representing Australian Unity Investment's specialised Joint Venture Partners to Australian institutional investors and asset consultants.JV Partners include:- Acorn (Aust MicroCap)- Altius (Aust FI)- Platypus (Aust Equity)- Seres (Asian Equities)- Vianova (Aust FI)- Wingate (International Equities)As well as Australian Unity's range of Property Funds (incl. Healthcare, Retirement Villages, Retail and Diversified Funds).

On sabbatical, spending time with family and travelling in Central Australia as part of my Non-Compete Agreement with BNY Mellon.

Sydney, Australia

• Acting Managing Director, June-Dec 2009; Director, Institutional Business 2003-2009;• Business management and strategy responsibilities locally, plus reporting and liaison with regional and global offices;• Head of Consultant Relations Australia and Member, Global Consultant Relations Strategy Team;• Head of Client Service – setting client service strategy and managing 2 client service staff, servicing up to 60 institutional investment clients;• Business development to large prospects (superannuation and government entities);• Organising and hosting up to 17 road-shows a year to introduce offshore investment boutiques to Australian prospects and clients;• Grew business from start-up (2003) to top 15 wholesale managers in Australia (2008);• Implemented strategic alliance (2004-2009) with Advance Asset Management for Advance to distribute BNY Mellon’s products to the retail market. Developed training materials for Advance’s sales force;• Key part of team generating >$35m revenue (2007), including A$17m in new revenue in 2006 and 2007;• Budget preparation – development of revenue and expense budgets in conjunction with Managing Director and CFO.• Appointed as a Director on the Board of BNY Mellon Asset Management Australia Ltd from Sept 2008;• Responsible Officer on BNY Mellon’s Australian Financial Services Licence from Nov 2003.

• Client management for corporate and multi-national clients• New business targets of $1m new revenue pa – achieved significantly in excess of target in 2002• Development and implementation of differentiated client service strategies, based on client revenue• Line management and development of client service staff • Continued training of new staff as team expands to handle client growth• Approximately 50%+ focus on new business from existing clients through cross-sell and up-sell. Implementing business plan to up-sell remaining index clients into enhanced and active investment products. Working with investment and product management teams to introduce and educate clients in the benefits of absolute return (long-short) strategies• Member of multiple internal committees and forums, such as Risk & Compliance Committee and Proxy Voting Committee

- Responsible for member communications and marketing strategies for the Board.- Writing and desktop publishing of member information booklets and brochures, reports, employer procedure manuals and newsletters, and media releases;- Development of superannuation education programs for Government employees throughout Western Australia;- Development and introduction of new name and logo for the non-contributory scheme (now known as “West State Super”), as well as first-time distribution of statements to 220,000 members;- Chairman, Customer Service Council. Responsible for development, writing and introduction of the Board’s Customer Service Charter and maintaining consistent customer service;

- Developed and executed a fundraising and direct mail program raising in excess of $500,000 p.a. to fund two-thirds of the station’s annual budget; Raised approximately $1.5 million over three years from around 6,000 donors- Developed and implemented marketing and promotional strategies including writing and production of regular newsletters, brochures, and the Annual Report;- Increased subscriber base by 50% over three years;

- Administration of approximately 600 superannuation plans for small to medium businesses.

Graduate Diploma, Financial Planning And Services

Completed Graduate Diploma in Financial Planning, January 2021

M.Comm, Finance, Funds Management

B.Bus, Marketing

Education record