Senior Specialist Participants Supervision & Enforcement

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.

Your Team

ASX Supervision brings together the Participants Supervision, Listings Supervision, Enforcement and the Transformation and Operational Performance teams to promote market integrity, listed entity and participant compliance and effective supervisory outcomes. The Senior Specialist is a senior supervision specialist who connects supervision and enforcement of participants, strengthens practice and leads the most complex or significant supervision work. They lead practice improvement and complex supervision work across Participants Supervision and Enforcement. The role connects supervision, investigation and enforcement insights to strengthen decision-making, improve supervision effectiveness and deliver consistent, risk-based supervisory outcomes.

Your responsibilities

As Senior Specialist, Participants Supervision and Enforcement, you will:

• Lead development of supervisory and enforcement policies and procedures and practice improvement across Participants Supervision and Enforcement.
• Provide senior oversight of and/or input into complex or high-risk supervisory and enforcement matters.
• Personally lead selected investigations or enforcement actions where complexity, significance or precedent warrants it.

Lead policy, procedure and practice improvement for participants

• Lead the development and continuous improvement of supervisory and enforcement policies, frameworks and operating practices.
• Translate supervision risks and case experience into practical initiatives and sustainable improvements.
• Provide clear advice to senior leaders on enforcement policy, supervision practice and supervision risk.

Connect supervision and enforcement of participants

• Ensure insights from supervision, investigations and enforcement outcomes inform future priorities, methodologies and policy settings.
• Promote consistent, risk-based and proportionate approaches across Participants Supervision and Enforcement.
• Resolve differences in approach through evidence-based analysis and clear recommendations.

Oversee complex supervision matters

• Provide senior oversight and constructive challenge on complex, novel or high-risk participant matters.
• Review material findings, investigation reports, notices and recommendations to ensure they are clear, proportionate, evidence-based and legally robust.
• Lead selected complex or significant investigations and enforcement actions.

Improve supervision practice across Participants Supervision and Enforcement

• Lead cross-functional initiatives that improve quality, timeliness, consistency and supervision effectiveness.
• Establish clear plans, accountabilities, measures and governance for practice improvement initiatives.
• Support improved quality assurance, prioritisation, escalation and supervision decision-making practices.

Build capability and stakeholder confidence

• Build supervisory and investigative capability through coaching, knowledge sharing and constructive challenge.
• Represent ASX in significant engagements with participants, legal representatives and regulators.
• Provide concise reporting on material matters, emerging risks, improvement initiatives and supervisory effectiveness.

Your experience and capabilities

Must have

• Tertiary qualification in law, accounting, finance, economics, business or a related discipline.
• Substantial senior experience in financial markets regulation, supervision, enforcement, law or compliance.
• Deep knowledge of Australian financial markets and the regulation of trading, clearing and settlement.
• Demonstrated experience leading complex investigations, supervision matters or significant supervision change.
• Strong understanding of risk-based supervision, enforcement, governance and procedural fairness.
• Proven ability to influence senior stakeholders and lead work across organisational boundaries.
• Exceptional judgement, analytical ability and written and verbal communication.

Nice to have

• Experience in an exchange, market operator, regulator, financial institution or leading professional services firm.
• Experience leading complex supervision change, operating model reform or technology-enabled process improvement.
• The resilience and discipline to manage urgent matters and competing priorities without compromising quality or procedural fairness.
• Intellectual curiosity and the confidence to challenge inadequate information, assumptions or explanations.
• A demonstrated commitment to objectivity, fairness, accountability and high-quality supervision outcomes.

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.

What we do

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.

Why join us

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.