Martin Smith
Sydney,AU
Summary
Analytical professional with extensive experience in equities and equity derivatives (ETO) dealing, trade instruction, and portfolio analytics. Proven success in managing institutional accounts, developing client-specific strategies, and mitigating investment risks. Skilled in detailed portfolio analysis and generating data-driven reports to enhance investment performance and optimize portfolios.
Overview
15
15
years of professional experience
Work History
Manager – Exchange Traded Options
Shaw and Partners
Sydney, AU
01.2020 - Current
- Accredited DTR responsible for firm-wide ETO derivatives exposure, risk management, and compliance
- Oversee risk governance, adjust option shortages, and manage trade allocations, collateral, and re-bookings
- Review derivatives margin levels and ASX risk margining
- Provide guidance on trading issues, margining, volatility, and strategies.
AVP – Associate VP, Data Management
JP Morgan
Sydney, AU
01.2016 - 01.2019
- Oversaw collateral management, position validation, and compliance with fund mandates
- Conducted root cause analyses of operational risks and implemented cost-effective solutions
- Led client sales pitches, managed portfolio analytics, and resolved data issues.
Options Analyst
Shaw and Partners
Sydney, AU
01.2013 - 01.2015
- Monitored derivatives policies, settlements, and resolved errors
- Managed option settlement issues and conducted stress testing for market risk scenarios.
Analyst – Corporate Finance
Lloyds Banking Group
Sydney, AU
01.2012 - 01.2013
- Managed drawdowns, revenue collection, and trade instructions for lending facilities
- Led the treasury dealing team and coordinated distressed debt consolidation.
BFS Adviser Services – Temp
Macquarie Group
Sydney, AU
01.2010 - 01.2011
- Handled funds, shares, ETFs, and ASX securities
- Executed equity trades, supported advisers with various client account queries, and managed trade verification.
Securities Division – Equities (Contract)
Goldman Sachs
London
01.2015
- Covered high-touch and DMA equities for institutional clients
- Analyzed market risk, monitored trades, and improved client experiences
- Managed risk and coordinated with global teams to enhance trade efficiency.
Education
Master’s in Business -
The University of Newcastle
AustraliaGraduate Certificate in Finance -
Charles Sturt University
AustraliaBachelor of Management -
The University of Newcastle
AustraliaSkills
- Execution Dealing (Equities and Options)
- Risk management
- Traded market risk
- Margining and collateral
- Investment & Portfolio Analytics
- Derivatives exposure management
- Financial Products
- Securities and Investment Strategies
- Relationship Management
Career Experience
- Manager – Exchange Traded Options, Shaw and Partners, Sydney, 2020-01-01, Present, Accredited DTR responsible for firm-wide ETO derivatives exposure, risk management, and compliance. Oversee risk governance, adjust option shortages, and manage trade allocations, collateral, and re-bookings. Review derivatives margin levels and ASX risk margining. Provide guidance on trading issues, margining, volatility, and strategies., Managed daily derivatives risk, notably during the March-April 2020 market crash., Developed monthly risk reports and implemented a new risk reporting system., Created engaging materials for risk analysis and managed proposal responses.
- AVP – Associate VP, Data Management, JP Morgan, Sydney, 2016-01-01, 2019-12-31, Oversaw collateral management, position validation, and compliance with fund mandates. Conducted root cause analyses of operational risks and implemented cost-effective solutions. Led client sales pitches, managed portfolio analytics, and resolved data issues., Organized training sessions on investment data analytics and financial products., Strengthened client relationships and analytics for institutional coverage., Led projects related to financial data product development and service offering.
- Securities Division – Equities (Contract), Goldman Sachs, London, 2015-01-01, 2015-12-31, Covered high-touch and DMA equities for institutional clients. Analyzed market risk, monitored trades, and improved client experiences. Managed risk and coordinated with global teams to enhance trade efficiency., Increased straight-through processing from 95% to 98%., Supported global equities and fixed income trading desks., Enhanced onboarding training for graduates.
- Options Analyst, Shaw and Partners, Sydney, 2013-01-01, 2015-12-31, Monitored derivatives policies, settlements, and resolved errors. Managed option settlement issues and conducted stress testing for market risk scenarios., Developed derivatives policy documents and stress testing procedures., Led product development projects related to financial data.
- Analyst – Corporate Finance, Lloyds Banking Group, Sydney, 2012-01-01, 2013-12-31, Managed drawdowns, revenue collection, and trade instructions for lending facilities. Led the treasury dealing team and coordinated distressed debt consolidation., Managed 80 institutional accounts and guided multi-currency funding., Provided advisory on rollover and interest to customers.
- BFS Adviser Services – Temp, Macquarie Group, Sydney, 2010-01-01, 2011-12-31, Handled funds, shares, ETFs, and ASX securities. Executed equity trades, supported advisers with various client account queries, and managed trade verification., Created online trading policy guidelines and training., Provided advisor support for SMSF administration and trading processes., Managed trade verification and settlement via internal and external platforms.
Professional Development
- AFMA Accreditation (Debt Markets)
- ADA2 (Accredited Derivatives Advisory)
- RG146 Compliant in Broking
- Accredited DTR (Designated Trading Representative – Equities/Options)
Timeline
Manager – Exchange Traded Options
Shaw and Partners
01.2020 - Current
AVP – Associate VP, Data Management
JP Morgan
01.2016 - 01.2019
Securities Division – Equities (Contract)
Goldman Sachs
01.2015
Options Analyst
Shaw and Partners
01.2013 - 01.2015
Analyst – Corporate Finance
Lloyds Banking Group
01.2012 - 01.2013
BFS Adviser Services – Temp
Macquarie Group
01.2010 - 01.2011
Master’s in Business -
The University of Newcastle
Graduate Certificate in Finance -
Charles Sturt University
Bachelor of Management -
The University of Newcastle
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