Compliance Programs Specialist, Participants Compliance

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We are seeking a detail‑oriented Compliance Programs Specialist to support the ASX Participants Compliance team, monitor and uphold standards, rules and expectations set forth by the Australian Securities Exchange (ASX).
The team conducts regular compliance reviews, provides education and guidance to participants, investigates breaches or irregularities, and collaborates with internal and external stakeholders to foster transparency and accountability. This role contributes to maintaining a fair, orderly, and efficient market and protecting investors and the integrity of Australia's financial system.

• Establish and document a robust outsourcing framework, including assessment tools and governance processes, aligned with best practices across regional exchanges and local requirements.
• Review existing rules and regulatory requirements related to material changes and develop practical guidance for internal and external use.
• Streamline internal compliance procedures to improve structure, reduce complexity and support operational efficiency.
• Develop and lead a review of market concentration and design appropriate frameworks for ongoing monitoring and review.
• Support the Admission Manager and internal stakeholders with determining the scope of cyber requirements across facilities, consult with participants on rule changes, and design frameworks for monitoring participants against those rule changes.
• Refresh and uplift participant-facing documentation, including notification templates and guidance material.
• Develop and strengthen internal controls to ensure ongoing compliance with license conditions and regulatory obligations.
• Undertake any other work assigned by your manager.

• Significant relevant industry or professional experience providing a broad understanding of financial products (equities, bonds and derivative products), the financial markets and settlement arrangements; detailed understanding of participants systems, operations and connectivity models; sophisticated knowledge of compliance and risk methodologies; ability to critically analyse information to assess regulatory obligations.
• Strong understanding in internal control development, regulatory obligations and risk-based compliance frameworks.
• Familiarity with exchange practices, FMI principles or APR/ASIC regulatory expectations.
• Demonstrated change management skills.
• Tertiary qualification in law, accounting, finance, business, risk management and compliance, economics or related disciplines.
• Excellent written and oral communication skills.
• Ability to work autonomously and manage multiple streams of work across different stakeholders.
• Decisiveness, solution-driven mindset, strong relationship management skills and a high level of discretion.
• Attention to detail and a commitment to quality; unquestionable integrity.

We make hiring decisions based on your skills, capabilities and experience, and how you'll help us live our values. We encourage you to apply even if you don't meet all the criteria. If you need adjustments during the application or interview process, please let us know.

At ASX Group, our diverse workforce is essential to build and maintain a fair and dynamic marketplace. We support flexible working and offer hybrid options. Even if roles are advertised as full-time, we encourage applications for part-time or other flexible arrangements. Successful candidates will undergo background checks including references and police checks as part of onboarding.

• Entry level

• Full-time

• Finance and Sales

We will arrange for successful candidates to have background checks as part of onboarding.