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.

Key purpose of the role

As a Principal Adviser you will play a senior and influential role in supervising ASXs quoted investment products and warrants markets. You will work at the intersection of law markets and regulationengaging directly with issuers their advisers and ASIC on complex and often novel product structures. Apply your sound judgement and commercial insight to realtime market decisions contribute to the evolution of ASXs regulatory framework and help safeguard market integrity as part of a collegiate team with a strong sense of purpose.

Your Team

Work within the team responsible for supervision of ASXs quoted investment products market. Our teams performance is critical to ASXs success in operating a market of the highest integrity and meeting the expectations of our customers and the wider Australian community.

Your responsibilities

Market supervision and decisionmaking

• Oversee issuer compliance with the ASX Operating Rules identifying issues relating to disclosure product suitability market making trading and market integrity.
• Exercise sound judgement in assessing complex facts and determining appropriate supervisory responses.

Issuer and adviser engagement

• Engage directly with issuers and senior professional advisers on governance product design structuring and compliance matters.
• Build constructive credible relationships while maintaining regulatory independence.

Policy waivers and market development

• Lead and contribute to decisions on waivers and new admissions.
• Help shape policy and regulatory practice to ensure ASXs framework remains fitforpurpose as markets and products evolve.

Regulatory and internal collaboration

• Act as a key point of engagement with ASIC on investment products matters.
• Work closely with Legal Markets Operations Product Management and other ASX teams.

Capability and culture

• Contribute to a culture of insight curiosity continuous improvement and highquality recordkeeping.
• Support capability uplift across the team through mentoring and knowledgesharing.

Must have

• A tertiary qualification in law accounting finance business economics or a related discipline.
• 58 years of relevant professional experience in areas such as exchange traded products capital markets financial services funds management financial markets regulation public M&A or listedentity governance. This role is well suited to a senior lawyer from a leading law firm or candidates of equivalent calibre from other externallyfacing professional services or regulatory environments.
• A strong working knowledge of the ASX Operating Rules (particularly Schedules 10 and 10A) and the Corporations Act and the ability to apply them in practice.
• A welldeveloped understanding of exchange traded and investment products capital markets and market infrastructure including product structuring and design compliance liquidity market making and funds management activities.
• Demonstrated ability to analyse and assess complex product structures disclosure documents and financial information against legal and regulatory requirements and expectations.
• Excellent written and verbal communication skills with the ability to distil complex legal and regulatory issues into clear practical and wellreasoned advice.
• Proven capability to exercise sound judgement manage ambiguity and engage confidently with senior external stakeholders while maintaining regulatory independence.

Nice to have

• A tertiary degree in law is an advantage. Strong candidates with tertiary qualifications in finance or accounting are also encouraged.
• Direct experience in funds management capital markets or exchange traded products including exposure to product admissions supervision or regulatory engagement.
• Handson experience applying the ASX Operating Rules and Corporations Act to investment products in a commercial regulatory or advisory context.
• Backgrounds in financial markets regulation enforcement litigation or policy that demonstrate strong analytical skills and regulatory judgement.
• Experience working closely with regulators market operators or senior professional advisers on complex or novel issues.

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.