Principal Adviser, Investment Products Compliance

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.

Requirements

• A tertiary qualification in law, accounting, finance, business, economics or a related discipline.
• 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.
• A tertiary degree in law is an advantage. Strong candidates with tertiary qualifications in finance or accou

Benefits

Additional Information

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.

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