Manager, Participant Management

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. 

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 a People Leader at ASX, you will not only be responsible for the core duties outlined below, but also for providing leadership, mentoring team members, and fostering a collaborative, inclusive team environment that encourages innovation and accountability (as articulated in our Leadership Principles). This role leads a team of compliance advisers (3).

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

• Leading and managing activities to ensure: ‐ the application of the Operating Rules and decision-making is both consistent and of a high standard; ‐ all investigations into allegations or complaints of non-compliance with the Operating Rules are appropriately managed; ‐ monitoring and identification activities are carried out appropriately; ‐ enquiries into all suspected contraventions of the Operating Rules are initiated and analysed appropriately; ‐ all identified breaches of the Operating Rules are treated with appropriate regulatory response including referral to Enforcement and, where applicable referral to regulatory agencies; and ‐ participants’ incidents are managed effectively and efficiently.

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

• Developing and implementing framework, process and initiatives that reflect current and emerging approaches to risk and compliance to ensure ASX meetings its regulatory obligations

• Educate participants and other stakeholders on Operating Rule issues by developing training programs, giving presentations and issuing educational materials.

Must have experience:

• 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

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.