Principal Advisor, Participant Management Team, 12 month fixed term contract

When you join ASX, you're 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, you'll 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.

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.

We're proud of the diversity of our organisation and the culture of inclusion that all our people help to build every day. Our employee-led groups are known for celebrating cultural and religious events, championing LGBTIQ+ inclusion (recently achieving AWEI Bronze), inspiring giving and volunteering, promoting gender equality, and wellbeing.  We are an Employer of Choice for Gender Equality (WGEA) and a member of the Champions of Change Coalition for the advancement of gender equality in Australia. 

The ASX Participants Compliance Team plays a crucial role in upholding the standards, rules, and expectations set forth 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 market.

Your responsibilities:

• assisting in managing the compliance relationship between ASX Group and its participants.

• help protect the integrity and reputation of ASX's markets and clearing and settlement facilities by diligently.

• reviewing self-reports of Operating Rule breaches by participants investigating allegations or complaints of non-compliance with the Operating Rules

• identifying, escalating and resolving any potential breach of the Operating Rules

• diligently processing applications for admission as a participant assigned to you and guiding applicants through the admission process

• conducting monitoring reviews into compliance with particular Operating Rule requirements

• driving enhancements and maintaining core processes within the Participants Compliance team to support reporting, case management and general work of the team supporting the delivery of a range of strategic compliance initiatives.

• provide compliance input into policy and business initiatives that support the integrity and reputation of ASX's markets and facilities

• Provide recommendations on compliance issues and findings being identified by monitoring and any reviews conducted.

• assist in the development and implementing framework, process and initiatives that reflect current and emerging approaches to risk and compliance to ensure ASX is meeting its regulatory obligations

• provide guidance to Participants on application of the ASX Operating Rules

• undertake any other work assigned to you by your manager

Your experience and qualifications:

• 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, risk management and compliance, economics or related disciplines.

• be an excellent communicator, both written and orally.

• able to manage the pressure of urgent matters and competing priorities.

• superior influencing skills and the ability to manage difficult conversations.

• 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.

• have an excellent attention to detail and unquestionable integrity.

We make hiring decisions based on your skills, capabilities and experience, and how you'll help us to live our values. We encourage you to apply even if you don't 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 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.