Stephen Dear Email & Phone Number

Transition planning for three client bond products and CHESS Replacement SME on dual access managed funds and mFunds A 12 month contract role split between:• requirements for proposed transition of three streams of tax protected bond products for an Iress Managed Fund Administration client; and • participate in project to plot the changes to systems, process, opportunity and threat to Iress’ unit registry solution for fund manager clients with mFund and dual access fund product

My role in this tour at Link was to absorb, analyse and project all the changes to process, rules, opportunity and threat to Link’s share registry and unlisted fund solutions and for its issuer clients that may come from ASX delivering its CHESS Replacement project. Interface with ASX’s consultation process through participation, discussion and written submission. Share registry business requirements identified and documented. Hand over to the team to focus on building systems to deliver a solution providing business benefit, operational efficiencies and contribute to process improvement.

At Netwealth the Managed Account is a significant contributor to the platform's overall FUM, attractiveness to independent financial planning businesses and profit generation. • From it launch to market in April 2015, grew to service $A2.1b FUM as at December 2018; and • as at June 2022 had grown to $A11.2b FUM (+$1.3b (+13.6%) YoY). Generated high margin, high growth revenue for the business year on year. Responsible for the delivery of the Managed Account to financial planners and their clients. Managed all ASX trade execution, model mandate compliance and its reporting to the Investment Committee, oversaw model manager trade and on the fly mandate check, set client service standards, developed solutions for corporate actions affecting model portfolios and client portfolios. Well regarded model manager online interface. Taken from the initial MLP/MVP solution in April 2015 with two staff to a robust, industrial scale product run efficiently by a dedicated team.

Melbourne, Australia

Invent, develop and deliver solutions for capital markets and M&A projects for Computershare’s domestic and international clients. Rapid deployment of solutions that identified, controlled or mitigated risk for CPU and the client. Responsibilities include: • invention of new solutions using CHESS and international systems:• taking clients’ advisers expectations and making them happen: • developed new product for CPU based on personal insights and analysis: • active contributor into ECM and M&A disclosure documents; and• developed market leading process for encouraging broker involvement in a deal’s success. Focussed cross-border solutions for wholesale investors including solutions for hedge funds and institutional investors. A keen eye for anticipating risks, delivering cost effective solutions for small clients and managing execution of the demanding logistics needs of large clients and/or complex transactions. Personally ran or established 25 Institutional Acceptance Facilities (IAFs) on deals worth a total of $32b between 2006 and 2014.

Recruited to establish and maintain a risk and control focus to the delivery of ECM and M&A projects for Link’s Melbourne based clients. Established processes for delivery of institutional and broker focussed ECM and M&A solutions; Jumbos, AREOs, handling fees and IAF.

Enhancing existing products and develop new products to expand the Were Stockbroking and Equity Finance client and asset base.Compliant product development and enhancement; legal, accounting and regulatory requirements. Perform at an operational level; thorough needs analysis, systems design, planning and operator training. * Protected Lending – Product Manager. Profitable loan book and ETO and OTC put option portfolio with $70m at risk. * Oversight and control of client adviser activity through a diverse ETO option portfolio overlaid on the margin loan book.

Melbourne, Australia

Middle Office - Stock Lending

Melbourne, Australia

Project managing the registry functions for Colonial Mutual Life's demutualisation, scheme meetings and stock market listing. A project spanning four countries; Australia, United Kingdom, New Zealand and Fiji and a significant shareholder base. Interacting with Colonial Eureka project team and Computershare as a service provider. A significant project that achieved a number of industry firsts.

October 1992 - July 1996 CHESS ASX's Clearing House Electronic Subregister System project. A $32 million project operated by a core team of 30 operating from Sydney and Melbourne. I was a key member of the seven person team responsible for the education of industry users, initiating the documentation of procedures and validation of business rules. I supported over 80 securities industry organisations in Sydney, Canberra and Brisbane developing their understanding of CHESS then their systems and procedure needs. * Represent ASX on industry committees and other bodies. * Presentation of business and systems concepts under CHESS to audiences as diverse as: systems developers; back-office managers; fund managers; and retail investors in public and private forums. * Determine processes for conversion to CHESS. * Active development of and participation in training workshops prepared by systems developers for intending participants in the CHESS system. * Member of the CHESS Technical Committees for Brokers and Institutional Investors and CHESS Phase 2 Rehearsal.