Senior Manager, Investment Products Supervision

When you join ASX youre joining a company with a strong purpose to power a stronger economic future by enabling a fair and dynamic marketplace for all.

In your new role youll be part of a leading global securities exchange with a strong brand. We are known for being a trusted market operator and an exciting data hub.

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are more than a securities exchange!

The ASX team brings together talented people from a diverse range of disciplines.

We run critical market infrastructure with 1 in 3 people employed within technology. Yet we have a unique complexity of roles across a range of disciplines such as operations program delivery financial products investor engagement risk and compliance.

Were proud to foster a workplace where diversity is celebrated and inclusion is part of our everyday culture. Our employee-led networks champion LGBTIQ inclusion promote gender equality accessibility and wellbeing inspire giving and volunteering and celebrate cultural and religious events creating a sense of belonging for all. As an AWEI Bronze employer and member of the Champions of Change Coalition for gender equality were committed to a fair and inclusive workplace where everyone can thrive.

Key purpose of the role

As Senior Manager Investment Products Supervision you will play a senior leadership role in overseeing ASXs quoted investment products framework with accountability for both product admissions and ongoing supervision. You will apply sound judgement and commercial insight to complex and often novel product issues; engage directly with issuers advisers and ASIC; and contribute to the evolution of ASXs regulatory framework to safeguard market integrity and support orderly market development.

Your Team

The Investment Products Supervision team is responsible for the admission supervision and regulatory oversight of ASXs quoted investment products markets including ETFs managed funds warrants and other exchangetraded products.
The teams work is critical to ASXs ability to operate markets of the highest integrity support innovation while managing regulatory and investor risks and meet the expectations of investors issuers regulators and the broader Australian community.

As Senior Manager you will lead and integrate the work of the admissions and supervision teams fostering a strong oneteam culture consistent decisionmaking and high professional standards

Your responsibilities

Strategic leadership and accountability

• Lead ASXs investment products admissions and supervision functions ensuring high quality supervisory outcomes across the product lifecycle.
• Set clear expectations for decisionmaking quality risk escalation recordkeeping and stakeholder engagement.
• Provide oversight and guidance on complex highrisk or novel matters including structured products and emerging product types.
• Contribute to the production of professional accurate and timely reports for regulators management and the ASX board.
• Represent Investments Products Supervision on internal and external project committees and working groups addressing admissions and ongoing supervision issues.

Market supervision and decisionmaking

• Use your experience and sound judgement to ensure that any issues with an applicant or its application that could impact on the integrity and reputation of ASXs market are appropriately identified escalated and resolved.
• Maintain strong processes for reviewing and assessing applications and applicants with proper regard to ASXs requirements regulatory obligations and good risk management practices.
• Ensure supervisory responses are timely proportionate and aligned with ASXs objectives and supervisory role.
• Identify emerging risks themes and trends in investment products markets and ensure appropriate supervisory or policy responses.
• Ensure that documentation and other information in relation to applications and applicants provided to the Investment Products Suitability Committee and the Investment Products Committee is clear and effectively communicates the key issues for consideration.

Issuer adviser and regulator engagement

• Engage directly with issuers responsible entities trustees and professional advisers on governance product design structuring and compliance matters while developing a strong culture within the team of proactive and effective communication.
• Help educate listed products and other stakeholders on AQUA rule issues by developing training programs giving presentations participating in panels and publishing educational materials.
• Engage regularly openly and constructively with ASIC and communicate and co-operate on matters of shared regulatory concern in a professional and timely manner.

Policy waivers and market development

• Help shape policy and guidance to ensure ASXs framework remains fitforpurpose as products market structures and investor behaviour evolve.
• Provide regulatory input into internal projects to ensure compliance and supervision considerations are embedded in product service and system changes.
• Engage directly and thoughtfully in the development of policy and guidance for investment products with a strong focus on the integrity and reputation of the ASX market while taking into account the impact of any proposed change on issuers and investors.

Capability leadership and culture

• Drive the alignment and engagement of the Investment Products team with ASX goals values and service standards.
• Monitor performance of the Investments Products team with established service levels and risk management requirements and ensure they are met while ensuring that staff adhere to ASX policies procedures and internal controls.
• Lead develop and support the Manager Investment Products Admissions and Manager Investment Products Supervision as team leaders.
• Build capability bench strength and succession across the Investment Products team.
• Proactively look for opportunities to improve the effectiveness and efficiency of the Investments Products team.
• Foster a culture of insight judgement curiosity continuous improvement and highquality recordkeeping.
• Promote collaboration across Admissions and Supervision and with other ASX teams.

Must have

• A tertiary qualification in law accounting finance business economics or a related discipline.
• Significant senior professional experience (typically 10 years) in areas such as exchangetraded products capital markets financial services funds management financial markets regulation or professionallyadvised corporate environments.
• A strong working knowledge of the ASX Operating Rules and the Corporations Act and the ability to apply them to complex and novel investment product scenarios.
• A welldeveloped understanding of exchangetraded and investment products including admissions structuring disclosure liquidity market making and ongoing supervision.
• Demonstrated ability to exercise sound regulatory and commercial judgement in ambiguous highimpact situations.
• Proven capability to engage confidently with senior external stakeholders while maintaining regulatory independence.
• Demonstrated experience leading senior professionals and developing highperforming teams

Nice to have

• A tertiary degree in law.
• Direct experience engaging with regulators or market operators on policy supervisory or enforcement matters.
• Backgrounds spanning funds management structured products law or regulation that demonstrate breadth of market insight.
• Experience contributing to regulatory reform guidance development or framework design.

We make hiring decisions based on your skills capabilities and experience and how youll help us to live our values. We encourage you to apply even if you dont meet all the criteria of this role.

If you need any adjustments during the application or interview process to help you present your best self please let us know at

At ASX Group our diverse workforce is essential to build and maintain a fair and dynamic marketplace. We support flexible working and offer hybrid working options. Even if our roles are advertised as full-time we encourage you to apply if you are interested in part-time or other flexible working arrangements.

We will arrange for successful candidates to have background checks including reference and police checks completed as part of the on-boarding process.

To be considered for this position candidates must be legally authorised to work in Australia on a permanent basis without any restrictions.