Principal Adviser - Participant Supervision Admissions

ASX: Powering Australia's financial markets

Why join the ASX?

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

We are more than a securities exchange!

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 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.

Participants Supervision 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 Supervision team is responsible for broad participant management including investigations into potential non-compliance, admissions and on-going and proactive monitoring and review of participants for compliance with the operating rules.

The team is structured across three specialised areas— Admission & Monitoring, Participant Transitions, and Participant Insights—each focusing on distinct stages of the participant lifecycle and aspects of ongoing compliance oversight. 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.

Your responsibilities:

In this role, 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:

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.

Providing proactive education to applicants on admission criteria, listing rules, and expectations to support high-quality and efficient applications as applicable

Identifying 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

Support 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)

Protect market integrity at the point of entry

Ensure risks are identified and mitigated before granting access to ASX markets and facilities

Apply robust judgement in approving, conditioning, or declining applications

Contribute to team capability

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.

Undertaking other duties as required.

Must have:

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

Nice to have:

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

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.

To be considered for this position, candidates must be legally authorised to work in Australia on a permanent basis without any restrictions.