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About the Role

As Senior Manager, Investment Products Supervision, you will play a senior leadership role in overseeing ASX’s quoted investment products framework, with accountability for both product admissions and ongoing supervision. You will apply sound judgement and commercial insight to complex and often novel product issues; engage directly with issuers, advisers and ASIC; and contribute to the evolution of ASX’s regulatory framework to safeguard market integrity and support orderly market development.

Responsibilities

Lead ASX’s investment products admissions and supervision functions, ensuring high quality supervisory outcomes across the product lifecycle.
Set clear expectations for decision-making quality, risk escalation, record-keeping and stakeholder engagement.
Provide oversight and guidance on complex, high-risk or novel matters, including structured products and emerging product types.
Contribute to the production of professional, accurate and timely reports for regulators, management and the ASX board.
Represent Investments Products Supervision on internal and external project committees and working groups addressing admissions and ongoing supervision issues.
Use your experience and sound judgement to ensure that any issues with an applicant or its application that could impact on the integrity and reputation of ASX’s market are appropriately identified, escalated and resolved.
Maintain strong processes for reviewing and assessing applications and applicants with proper regard to ASX’s requirements, regulatory obligations and good risk management practices.
Ensure supervisory responses are timely, proportionate and aligned with ASX’s objectives and supervisory role.
Identify emerging risks, themes and trends in investment products markets and ensure appropriate supervisory or policy responses.
Ensure that documentation and other information in relation to applications and applicants provided to the Investment Products Suitability Committee and the Investment Products Committee is clear and effectively communicates the key issues for consideration.
Engage directly with issuers, responsible entities, trustees and professional advisers on governance, product design, structuring and compliance matters, while developing a strong culture within the team of proactive and effective communication.
Help educate listed products and other stakeholders on AQUA rule issues by developing training programs, giving presentations, participating in panels, and publishing educational materials.
Engage regularly, openly and constructively with ASIC, and communicate and co-operate on matters of shared regulatory concern in a professional and timely manner.
Help shape policy and guidance to ensure ASX’s framework remains fit-for-purpose as products, market structures and investor behaviour evolve.
Provide regulatory input into internal projects to ensure compliance and supervision considerations are embedded in product, service and system changes.
Engage directly and thoughtfully in the development of policy and guidance for investment products, with a strong focus on the integrity and reputation of the ASX market, while taking into account the impact of any proposed change on issuers and investors.
Drive the alignment and engagement of the Investment Products team with ASX goals, values and service standards.
Monitor performance of the Investments Products team with established service levels and risk management requirements and ensure they are met, while ensuring that staff adhere to ASX policies, procedures and internal controls.
Lead, develop and support the Manager, Investment Products Admissions and Manager, Investment Products Supervision as team leaders.
Build capability, bench strength and succession across the Investment Products team.
Proactively look for opportunities to improve the effectiveness and efficiency of the Investments Products team.
Foster a culture of insight, judgement, curiosity, continuous improvement and high-quality record-keeping.
Promote collaboration across Admissions and Supervision and with other ASX teams.

Requirements

A tertiary qualification in law, accounting, finance, business, economics or a related discipline.
Significant senior professional experience (typically 10+ years) in areas such as exchange-traded products, capital markets, financial services, funds management, financial markets regulation or professionally-advised corporate environments.
A strong working knowledge of the ASX Operating Rules and the Corporations Act, and the ability to apply them to complex and novel investment product scenarios.
A well-developed understanding of exchange-traded and investment products, including admissions, structuring, disclosure, liquidity, market making and ongoing supervision.
Demonstrated ability to exercise sound regulatory and commercial judgement in ambiguous, high-impact situations.
Proven capability to engage confidently with senior external stakeholders while maintaining regulatory independence.
Demonstrated experience leading senior professionals and developing high-performing teams.
A tertiary degree in law.
Direct experience engaging with regulators or market operators on policy, supervisory or enforcement matters.
Backgrounds spanning funds management, structured products, law or regulation that demonstrate breadth of market insight.
Experience contributing to regulatory reform, guidance development or framework design.
Candidates must be legally authorised to work in Australia on a permanent basis without any restrictions.

Skills

Investment Products Supervision
Product admissions
Ongoing supervision
Regulatory framework
Market integrity
Market development
Structured products
Emerging product types
Risk management
Stakeholder engagement
Policy development
Guidance development
Team leadership
Communication

Location

Australia

Work Type

Hybrid working options
Full-time

Experience Level

Senior Manager
10+ years

Education Level

Tertiary qualification in law, accounting, finance, business, economics or a related discipline
Tertiary degree in law

Benefits

Flexible working

About the Company

ASX powers Australia's financial markets, enabling a stronger economic future by providing a fair and dynamic marketplace.
ASX is a leading global securities exchange, known as a trusted market operator and an exciting data hub.
The ASX team brings together talented people from a diverse range of disciplines, running critical market infrastructure.
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.
We are an AWEI Bronze employer and a member of the Champions of Change Coalition for gender equality, committed to a fair and inclusive workplace where everyone can thrive.

Equal Opportunity

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.
We will arrange for successful candidates to have background checks, including reference and police checks, completed as part of the on-boarding process.