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About the Role

This role provides senior compliance oversight of participant admissions, ensuring rigorous assessment of applicants against admission criteria and supporting sound, compliant admission decisions in line with ASX Operating Rules. You will manage the end-to-end admission and onboarding of participants, ensuring only suitable entities are approved to access ASX markets and clearing and settlement facilities.

Responsibilities

Manage and assess participant admissions
Lead end-to-end compliance assessment and decision-making for new participant applications
Act as the primary contact throughout the application assessment
Review application materials, due diligence outputs, and supporting documentation
Assess applicants’ operational, governance, and risk management capabilities
Ensure compliance with ASX market and facilities Rules and admission requirements
Identify gaps and drive remediation actions prior to admission approval
Provide advice on ASX admission requirements
Interpret Operating Rules and provide clear guidance to applicants and internal stakeholders
Manage complex or novel admission scenarios, including waivers and/or conditions
Support the design, development, and delivery of education initiatives to support applicants and newly admitted entities in understanding and meeting ASX admission requirements and ongoing obligations
Provide proactive education to applicants on admission criteria, listing rules, and expectations to support high-quality and efficient applications
Identify common issues, knowledge gaps, and emerging trends in admission applications to inform targeted process improvements
Support in the design and continuously improve admission frameworks
Enhance admission policies, procedures, and assessment methodologies
Ensure alignment with evolving regulatory expectations and market developments
Oversee participant readiness and onboarding
Oversee transition from approval to operational readiness (e.g. connectivity, testing, controls validation)
Collaborate with internal teams (e.g. technology, operations)
Ensure risks are identified and mitigated before granting access to ASX markets and facilities
Apply robust judgement in approving, conditioning, or declining applications
Provide technical leadership, mentoring and training in admission processes
Share insights and lessons learned to strengthen admission practices
Ensure staff are crossed trained to ensure appropriate coverage across the team
Undertake other duties as required

Requirements

A tertiary qualification in law, accounting, finance, business, economics or related disciplines
At least 10 years’ relevant industry or professional experience
Good understanding of Australia’s financial markets and operations or international comparative covering equities, derivatives, OTC, clearing and settlement
Practical knowledge of the competencies required to operate in the ASX markets and clearing and settlement facilities (or international comparison)
Practical knowledge of compliance and risk methodologies
Highly developed analytical, investigative and problem-solving abilities
Exceptional verbal, written, presentation and communication skills
Able to manage the pressure of urgent matters and competing priorities
An enquiring mind and the determination to push back when information or explanations provided by participants appear inadequate
Agile, Adaptable & Resilient – able to manage change and be positive
Objectivity and fairness
An eye for detail and a concern for quality
Candidates must be legally authorised to work in Australia on a permanent basis without any restrictions

Skills

Compliance oversight
Participant admissions
Onboarding
Risk management
Regulatory compliance
Financial markets operations
Equities
Derivatives
OTC
Clearing and settlement
Analytical skills
Investigative skills
Problem-solving
Communication skills
Presentation skills
Mentoring
Training

Location

Australia

Work Type

Hybrid working options
Flexible working

Experience Level

Senior
At least 10 years’ relevant industry or professional experience

Education Level

Tertiary qualification in law, accounting, finance, business, economics or related disciplines

Benefits

Impressive range of employee benefits
Flexible working environment

About the Company

ASX is an integrated exchange offering listings, trading, clearing, settlement, technical and information services, technology, data and other post-trade services.
It acts as a market operator, clearing house and payments system facilitator.
It oversees compliance with its operating rules, promotes standards of corporate governance among Australia’s listed companies and helps to educate retail investors.
ASX operates markets for a wide range of asset classes including equities, fixed income, commodities and energy.
As an integrated exchange, ASX’s activities span primary and secondary market services, including the raising, allocation and hedging of capital flows; trading and price discovery; central counterparty risk transfer; and securities settlement for both the equities and fixed income markets.
When you join ASX, you’ll be joining a dynamic global leader with a record of innovation and a reputation for integrity, transparency and professionalism.

Equal Opportunity

We are proud to foster a workplace where diversity is celebrated and inclusion is part of our everyday culture.
Our employee-led networks champion LGBTIQ+ inclusion, promote gender equality, accessibility and wellbeing, inspire giving and volunteering, and celebrate cultural and religious events, creating a sense of belonging for all.
As an AWEI Bronze employer and member of the Champions of Change Coalition for gender equality, we’re committed to a fair and inclusive workplace where everyone can thrive.
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 careers@asx.com.au.
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.