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Principal Adviser, Investment Products Compliance

SeniorFull-timeHybridSydney NSW, AustraliaFinanceLegalPosted 3 months agoVerified 2 months ago
Pending fitX of Y criteria met

About the job

The Principal Adviser position at ASX is an exciting opportunity to play a senior and influential role in supervising quoted investment products and warrants markets. This job is crucial for maintaining market integrity and ensuring compliance with ASX Operating Rules. The team thrives on collaboration, diversity, and a strong sense of purpose, making it a great place to grow and contribute to a fair and dynamic marketplace.

Meet the team

About the company

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Think you're a good fit?See what the hiring team are looking for

You'll be responsible for

🔍

Overseeing issuer compliance

Identifying issues related to disclosure, product suitability, and market integrity.
🤝

Engaging with issuers and advisers

Building relationships while maintaining regulatory independence is key to success.
📊

Leading policy and market development

Shaping ASX’s regulatory framework to ensure it remains fit-for-purpose as markets evolve.

Key criteria

📜

Tertiary qualification in relevant fields

Possession of a degree in law, finance, or related discipline.

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🕒

5-8+ years of relevant experience

Experience in capital markets, financial services, or regulatory environments.

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📊

Strong knowledge of ASX Operating Rules

Understanding of Schedules 10 and 10A and the Corporations Act.

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A meaningful career starts with a match

View your fit

5 criteria for this job
Tertiary qualification in relevant fields
Possession of a degree in law, finance, or related discipline.

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5-8+ years of relevant experience
Experience in capital markets, financial services, or regulatory environments.

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Strong knowledge of ASX Operating Rules
Understanding of Schedules 10 and 10A and the Corporations Act.

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Ability to analyze complex structures
Demonstrated skill in assessing product structures and compliance.

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Excellent communication skills
Ability to convey complex issues clearly to stakeholders.

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