Principal Adviser, Investment Products Compliance at ASX

Sydney, New South Wales, Australia -

Full Time

Start Date

Immediate

Expiry Date

22 Jun, 26

Salary

0.0

Posted On

24 Mar, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Market Supervision, Decision-Making, Issuer Engagement, Adviser Engagement, Policy Development, Waiver Assessment, Regulatory Framework, ASIC Engagement, Legal Analysis, Product Structuring, Compliance, Judgment, Communication, Mentoring, Record-Keeping, Continuous Improvement

Industry

Financial Services

Description

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. Key purpose of the role As a Principal Adviser, you will play a senior and influential role in supervising ASX’s quoted investment products and warrants markets. You will work at the intersection of law, markets and regulation—engaging directly with issuers, their advisers and ASIC on complex and often novel product structures. Apply your sound judgement and commercial insight to real‑time market decisions, contribute to the evolution of ASX’s regulatory framework, and help safeguard market integrity as part of a collegiate team with a strong sense of purpose. Your Team Work within the team responsible for supervision of ASX’s quoted investment products market. Our team's performance is critical to ASX's success in operating a market of the highest integrity and meeting the expectations of our customers and the wider Australian community. Your responsibilities Market supervision and decision‑making Oversee issuer compliance with the ASX Operating Rules, identifying issues relating to disclosure, product suitability, market making, trading and market integrity. Exercise sound judgement in assessing complex facts and determining appropriate supervisory responses. Issuer and adviser engagement Engage directly with issuers and senior professional advisers on governance, product design, structuring and compliance matters. Build constructive, credible relationships while maintaining regulatory independence. Policy, waivers and market development Lead and contribute to decisions on waivers and new admissions. Help shape policy and regulatory practice to ensure ASX’s framework remains fit‑for‑purpose as markets and products evolve. Regulatory and internal collaboration Act as a key point of engagement with ASIC on investment products matters. Work closely with Legal, Markets Operations, Product Management and other ASX teams. Capability and culture Contribute to a culture of insight, curiosity, continuous improvement and high‑quality record‑keeping. Support capability uplift across the team through mentoring and knowledge‑sharing. Must have A tertiary qualification in law, accounting, finance, business, economics or a related discipline. 5–8+ years of relevant professional experience in areas such as exchange traded products, capital markets, financial services, funds management, financial markets regulation, public M&A, or listed‑entity governance. This role is well suited to a senior lawyer from a leading law firm or candidates of equivalent calibre from other externally‑facing professional services or regulatory environments. A strong working knowledge of the ASX Operating Rules (particularly Schedules 10 and 10A) and the Corporations Act, and the ability to apply them in practice. A well‑developed understanding of exchange traded and investment products, capital markets and market infrastructure, including product structuring and design, compliance, liquidity, market making and funds management activities. Demonstrated ability to analyse and assess complex product structures, disclosure documents and financial information against legal and regulatory requirements and expectations. Excellent written and verbal communication skills, with the ability to distil complex legal and regulatory issues into clear, practical and well‑reasoned advice. Proven capability to exercise sound judgement, manage ambiguity and engage confidently with senior external stakeholders while maintaining regulatory independence. Nice to have A tertiary degree in law is an advantage. Strong candidates with tertiary qualifications in finance or accounting are also encouraged. Direct experience in funds management, capital markets or exchange traded products, including exposure to product admissions, supervision or regulatory engagement. Hands‑on experience applying the ASX Operating Rules and Corporations Act to investment products in a commercial, regulatory or advisory context. Backgrounds in financial markets regulation, enforcement, litigation or policy that demonstrate strong analytical skills and regulatory judgement. Experience working closely with regulators, market operators or senior professional advisers on complex or novel issues. 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. 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. You’ll also enjoy an impressive range of employee benefits and a flexible working environment underpinned by a friendly and collaborative culture.

Responsibilities

The Principal Adviser will play a senior role supervising ASX’s quoted investment products and warrants markets, engaging with issuers, advisers, and ASIC on complex product structures. Responsibilities include exercising sound judgment in real-time market decisions, contributing to regulatory framework evolution, and safeguarding market integrity.