Compliance Programs Specialist, Participants Compliance

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.

www.asx.com.au/about/careers/a-great-place-to-work

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. 

Your Team 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—protecting not only the interests of investors but also the reputation of Australia’s financial system as a whole.

Your responsibilities:

As the Compliance Programs Specialist - Participants Compliance, you will contribute to the work of the Participants Compliance team by:

Projects:

• Establish and documenting 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 the cyber requirements across the facilities, consult with participants on any rule changes and design framework 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 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

• 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

• A tertiary qualification in law, accounting, finance, business, risk management and compliance, economics or related disciplines

• Be an excellent communicator, both written and orally • Ability to work autonomously and manage multiple streams of work across different stakeholders

• Demonstrated decisiveness

• Be solution driven

• Strong relationship management skills and a high level of discretion

• Have an excellent attention to detail and a concern for quality

• 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.