Stephen Cole Email & Phone Number

Canada

Toronto, Ontario, Canada

Toronto, Canada Area

Toronto, Canada Area

• Acting as project lead to implement new systems and procedures• Member of various internal committees that monitor and report on market shifts affecting changes in regulatory rules globally, market structure and general market trends affecting the asset management business• Interpreting and designing rules in the trade order management system creating restrictions based on regulatory, internal, institutional, reputational or management restrictions• Attending meetings on manager’s behalf to represent and make decisions on behalf of Investment Policy and the business in general• Cross product analysis customized to adhere to regulatory rules for Canadian, U.S., European, Asian and pension restrictions. • Coordinating annual, quarterly and monthly reviews relating to trading costs, broker approvals and review, trade cost analysis, commission budgeting and reputational risk • Assist with the design and implementation of new investment management product proposals to serve an existing or new investor segment• Collaborating on special projects for upper management related to potential acquisitions and strategic initiatives• Provided training to staff in Vancouver, Minneapolis, London and Hong Kong related to trade order management system, trade cost analysis and broker approval• Attended various industry conferences and seminars related to market shifts affecting changes in regulatory rules globally, market structure and general market trends affecting the asset management business.

Toronto, Canada Area

• Built, modified and improved spreadsheets to track and report on exposure related to broker, credit, market and client segment risks• Trained summer students and generalists, providing oversight on their projects• Created, developed and updated investment policy statements for RBC GAM funds/pools• Monitored regulatory, market structure and asset management related research and news• Portfolio optimization using modern portfolio theory and mean variance optimization • Analyzed and recommended investment management product positioning for high net worth individuals and institutions used in the client pitch meetings• Completed special projects for upper management related to potential acquisitions and strategic initiatives• Attended various industry conferences and seminars related to market shifts affecting changes in regulatory rules globally, market structure and general market trends affecting the asset management business

Toronto, Canada Area

• Represented the business on projects to test and improve systems• Helped to update and maintain document management system• Updated investment policy statements for RBC AM funds/pools• Assisted in monitoring trading activity within RBC AM, including best execution monitoring and exception reporting analysis• Found ways to improve operations and measure efficiency while maintaining a strong risk management focus to maintain the integrity of RBC AM’s reputation• Back-Testing, preparing presentations and providing initial recommendations to the manager, CIO and other areas of RBC AM• Enhanced weekly, monthly, quarterly and annual reporting to standardize methodology and tracking • Attended various industry conferences and seminars related to market shifts affecting changes in regulatory rules globally, market structure and general market trends affecting the asset management business.

Toronto, Canada Area