ASX: Powering Australias financial markets

Why join the ASX

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.

Want to know why we are a great place to work click on the link to learn more.

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.

Your Team:

The ASX Participants Compliance Team plays a crucial role in upholding the standards rules and expectations set by the Australian Securities Exchange (ASX). Tasked with monitoring and ensuring that participants act in accordance with the ASX Operating Rules.

Their responsibilities include conducting regular compliance reviews providing education and guidance to participants investigating breaches or irregularities and working closely with both internal and external stakeholders to foster a culture of transparency and accountability. Through proactive oversight targeted support and collaborative engagement the ASX Participants Compliance Team helps maintain a fair orderly and efficient/ fair and effective market

Key Responsibilities:

As the Principal Adviser you will contribute to the work of the Participants Compliance Monitoring and Review team by:

• Assisting in managing the compliance relationship between ASX Group and its participants as it relates to the monitoring

• and review program

• Assist in the continuing development of the monitoring and review framework processes and initiatives that reflect current and emerging approaches to risk and compliance to ensure ASX meets its regulatory obligations

• Conduct monitoring reviews and escalate any areas of concern and provide input to areas of enhancement

• Provide recommendations on compliance issues and findings identified by any monitoring or review conducted

• Prepare management and industry reporting on outcomes of the monitoring and review program

• Where required diligently processing applications assigned to you for the admission of a participant

• Where required review self-reports of operating rule breaches by participants

• Leading policy and business initiatives that support the integrity and reputation of ASXs markets and facilities

• Where required assisting in the design and implementation of educational programs to support a strong risk and compliance culture

• Assist in enhancing and maintaining core processes within the Participants Compliance team to support reporting case management and general work of the team

• Undertake any other work assigned to you by your Manager

Your experience and qualifications
Must have:

• Significant relevant industry or professional experience providing you with:

• a broad understanding of financial products (equities bonds and derivative products) and the financial markets and the settlement arrangements for those products.

• a detailed understanding of participants systems operations and connectivity models sophisticated knowledge and practical application of compliance and risk methodologies the ability to critically analyse information to assess compliance with regulatory obligations a tertiary qualification in law accounting finance business economics or related disciplines.

• Exceptional verbal written presentation and communication skills

• Able to manage the pressure of urgent matters and competing priorities

• Superior influencing skills and the ability to manage difficult conversations

• Demonstrated decisiveness and solution driven

• Have an enquiring mind and the determination to push back when information or explanations appear inadequate

• Strong relationship management skills and a high level of discretion Objectivity and fairness

• Unquestionable integrity

Nice to have:

• Experience in drafting and considering policy and rule changes

• Demonstrated change management skills

• Knowledge of BCP/disaster recovery frameworks

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.