Compliance Policy and Framework Specialist, Participants Compliance (2-year max term)

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 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.

Your Team

The ASX Participants Compliance Team plays a crucial role in upholding the standards, rules, and expectations set forth by the Australian Securities Exchange (ASX). Tasked with monitoring and ensuring that participants act in accordance with the ASX Operating Rules.

Their responsibilities include conducting regular compliance reviews, providing education and guidance to participants, investigating breaches or irregularities, and working closely with both internal and external stakeholders to foster a culture of transparency and accountability. Through proactive oversight, targeted support, and collaborative engagement, the ASX Participants Compliance Team helps maintain a fair, orderly, and efficient market—protecting not only the interests of investors but also the reputation of Australia’s financial system as a whole.

Your responsibilities

As the Compliance Policy and Framework Specialist - Participants Compliance, you will contribute to the work of the Participants Compliance team by:

• Establish and documenting a robust tiered participation framework (clearing members client onboarding and credit, liquidity and operational resilience management processes), including assessment tools and governance processes, aligned with best practices across regional exchanges and local requirements

• Lead the scope of the cyber requirements across the facilities, consult with participants on any rule changes and design framework for monitoring participants against those rule changes.

• Streamline internal reporting processes to improve structure, reduce complexity and support operational efficiency

• Refresh and uplift participant-facing documentation, including notification templates and guidance material

• Develop and strengthen internal controls to ensure ongoing compliance with license conditions and regulatory obligations

• Regulatory reporting, including all relevant participant data being provided to ASIC and RBA

• Undertake any other work assigned to you by your manager

Your experience and qualifications

Must have

• Significant relevant industry or professional experience providing you with:

• a broad understanding of financial products (equities, bonds and derivative products) and the financial markets and the settlement arrangements for those products.

• a detailed understanding of participants systems, operations and connectivity models

• sophisticated knowledge and practical application of compliance and risk methodologies

• the ability to critically analyse information to assess compliance with regulatory obligations

• Strong understanding in internal control development, regulatory obligations and risk-based compliance frameworks

• Familiarity with exchange practices, FMI principles or APRA/ASIC regulatory expectations

• Demonstrated change management skills

• A tertiary qualification in law, accounting, finance, business, risk management and compliance, economics or related disciplines

• Be an excellent communicator, both written and orally

• Ability to work autonomously and manage multiple streams of work across different stakeholders

• Demonstrated decisiveness

• Be solution driven

• Strong relationship management skills and a high level of discretion

• Have an excellent attention to detail and a concern for quality

• Unquestionable integrity

Nice to have

• Experience in drafting and considering policy and rule changes

• 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.