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About the Role

Participant Supervision is a specialist function established by ASX to monitor and enforce compliance with the ASX Group Operating Rules by participants and plays a key role in ensuring ASX meets its licence obligations. This role supports participant supervision activities through the investigation of participant conduct, assessment of potential rule breaches, analysis of participant risk, and delivery of evidence-based supervision outcomes.

Responsibilities

Manage participant supervision activities and support ongoing participant relationships.
Act as a key point of contact for allocated participants on supervision and compliance matters.
Maintain constructive, risk-aware engagement with participants.
Conduct participant investigations and compliance reviews, including reviewing allegations, complaints, referrals and self-reported breaches of the ASX Operating Rules.
Gather, analyse and assess information and evidence to establish relevant facts and circumstances.
Investigate potential instances of non-compliance with the ASX Operating Rules and Procedures.
Prepare clear, evidence-based investigation reports, findings and recommendations.
Identify, escalate and support the resolution of potential breaches of the Operating Rules.
Maintain objective, professional and procedurally fair engagement with participants throughout investigations.
Evaluate periodic and ad hoc filings for compliance with ASX Operating Rule requirements.
Assess applications for waivers and relief from Operating Rule obligations.
Review ongoing participant obligations and regulatory submissions.
Prepare case reports, investigation outcomes and management information in a timely manner.
Maintain accurate records of supervision, monitoring and investigation activities.
Contribute to periodic reporting on participant compliance outcomes and emerging risks.
Support participants in addressing identified compliance issues.
Monitor remediation activities and implementation of corrective actions.
Promote compliance with the ASX Operating Rules and Participant Supervision framework.
Assist in enhancing and maintaining participant supervision processes, case management practices and reporting frameworks.
Contribute to supervision-led projects, regulatory change initiatives and continuous improvement activities.
Support the delivery of strategic compliance initiatives.
Contribute to educational activities that assist participants in understanding and meeting their obligations.
Share knowledge and regulatory insights with participants and internal stakeholders.
Contribute to the development of guidance materials and supervision communications.
Contribute to knowledge sharing across the Participant Supervision team.
Support cross-training activities to ensure appropriate coverage across the team.
Assist in developing technical knowledge and supervision capability within the team.
Undertake other duties as required.

Requirements

A tertiary qualification in law, accounting, finance, business, economics or related disciplines
At least 7 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

Analytical skills
Investigative skills
Problem-solving skills
Verbal communication skills
Written communication skills
Presentation skills
Risk management
Compliance methodologies

Location

Australia

Work Type

Hybrid working options
Full-time
Part-time

Experience Level

7+ 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 powering Australia's financial markets and is a leading global securities exchange.
ASX is a trusted market operator and an exciting data hub.
The ASX team brings together talented people from a diverse range of disciplines.
ASX runs critical market infrastructure, with 1 in 3 people employed within technology.
ASX has a unique complexity of roles across a range of disciplines such as operations, program delivery, financial products, investor engagement, risk and compliance.
ASX is an integrated exchange offering listings, trading, clearing, settlement, technical and information services, technology, data and other post-trade services.
ASX acts as a market operator, clearing house and payments system facilitator.
ASX 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.
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.
ASX is a dynamic global leader with a record of innovation and a reputation for integrity, transparency and professionalism.

Equal Opportunity

Proud to foster a workplace where diversity is celebrated and inclusion is part of our everyday culture.
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.
An AWEI Bronze employer and member of the Champions of Change Coalition for gender equality, committed to a fair and inclusive workplace where everyone can thrive.
Encourage applications 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.
ASX Group’s diverse workforce is essential to build and maintain a fair and dynamic marketplace.
Encourage applications from those interested in part-time or other flexible working arrangements, even if roles are advertised as full-time.