Senior Adviser, Monitoring & Review 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. 

About the team:

Participants Compliance is a specialist function established by ASX to monitor and enforce compliance with the ASX Group Operating Rules by participants, it plays a key role in ensuring ASX meets its licence obligations. The Participant Management team is responsible for broad participant management including investigations into potential non-compliance, admissions and on-going and proactive monitoring & review of participants for compliance with the operating rules. This role is part of the monitoring & review team.

As a Senior Adviser, Monitoring & Review within Participants Compliance, you will be responsible for supporting the design, coordination and enhancement of the participants compliance monitoring and review framework. With the key focus to assist Participants Compliance in identifying potential areas of non-compliance with ASX Group Operating Rules. Additionally, you will help protect the integrity and reputation of ASX markets and facilities by delivering effective compliance outcomes and assisting participants to comply with their obligations under the Operating Rules for those markets and facilities.

What you will be doing:

• Assist in managing the compliance relationship between ASX Group and its participants as it relates to the monitoring and review program

• Support the enhancement, planning and design of an ongoing robust monitoring and review program

• Implement the monitoring and review program with participants, escalate any areas of concern and provide input to areas of enhancement

• Prepare management and industry reporting on outcomes of the monitoring and review program

• Continue to support the development and implementation of a monitoring and review framework, that reflects current and emerging approaches to risk and compliance, to ensure ASX meetings its regulatory obligations

• Provide recommendations on compliance issues and findings identified by any monitoring or review conducted.

• Where required, diligently processing applications assigned to you for the admission of a participant

• Where required, review self-reports of operating rule breaches by participants

What you will bring:

Must have

• Deep industry or professional experience that provides you with a broad understanding of financial products (equities, bonds and derivative products) and the financial markets, together with the clearing and settlement arrangements for those products.

• Broad understanding of ASX Operating Rules covering all ASX products

• Detailed understanding of participants systems, operations and connectivity models

• Detailed knowledge and practical application of compliance and risk methodologies

• A tertiary qualification in law, accounting, finance, business, economics or related disciplines

• Ability to collaborate and work effectively across teams/ with multiple stakeholders to deliver a common goal

• Foster a culture of knowledge sharing and continual learning

• Critical thinking with an analytical approach

• Communication skills – excellent oral, written and presentation

Nice to have

• Experience in drafting and considering policy and obligation changes

• Knowledge of BCP/disaster recovery frameworks

• Demonstrated change management skills

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.