Officer, Participant Management

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 of the diversity of our organisation and the culture of inclusion that all our people help to build every day. Our employee-led groups are known for celebrating cultural and religious events, championing LGBTIQ+ inclusion (recently achieving AWEI Bronze), inspiring giving and volunteering, promoting gender equality, and wellbeing. We are an Employer of Choice for Gender Equality (WGEA) and a member of the Champions of Change Coalition for the advancement of gender equality in Australia.

About the team:

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

As the Officer, Participant Management within Participants Compliance, while reporting to the Manager Monitoring and Review you will support the Participant Management team more broadly in managing their portfolio of participants in ASX’s markets, clearing and settlement facilities. The primary focus of the role is to support the team by assessing applications for ASX participations, reviewing notifications provided by ASX Participants to determine if provided on time or if raises any concern regarding compliance with the ASX Operating rules and providing assistance with the ongoing monitoring and review framework.

What you will be doing:

• Reviewing and diligently processing applications for admission as a participant for conformity with ASX’s requirements

• Supporting the monitoring and review framework including the development of questionnaires for participants that support that framework

• Assisting in monitoring reviews to determine participant compliance with particular Operating Rule requirements

• Reviewing ad hoc and periodic notifications by participants for conformity with ASX’s Operating Rule requirements

• Assisting in the review of self-reports of Operating Rule breaches by participants

• Develop a good knowledge of the ASX Operating Rules and their application

• Develop a good understanding of the financial markets as well as clearing and settlement facilities

• Develop a good understanding of participant systems, operations and connectivity models

What you will bring:

Must have

• A tertiary qualification in law, accounting, finance, business, economics or related disciplines

• Foster a culture of knowledge sharing and continual learning

• Able to work effectively and co-operatively in a team environment

• Communication skills – Good oral / written communication skills

Nice to have

• Good analytical and problem-solving skills

• Comfortable using Excel

• Exposure to Compliance is beneficial

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.