Principal Adviser - Participant Supervision Admissions
Core
Senior compliance oversight of participant admissions, ensuring rigorous assessment of applicants against admission criteria and supporting sound, compliant admission decisions in line with ASX Operating Rules.
Role type
Principal Adviser - Participant Supervision Admissions
Builds
Participant admission frameworks, policies, procedures, and assessment methodologies
Domain
Financial markets / Securities exchange / Compliance
Required skills
Compliance assessment, Due diligence, Risk management evaluation, Operational governance review, Regulatory interpretation, Remediation planning, Process improvement, Stakeholder guidance, Team mentoring, Cross-functional collaboration
Preferred skills
Managing complex/novel admission scenarios, Designing education initiatives, Identifying emerging trends, Driving process enhancements
Technologies
N/A
Responsibilities
Manage end-to-end admission and onboarding of participants; Lead compliance assessment and decision-making for new participant applications; Review application materials, due diligence outputs, and supporting documentation; Assess applicants' operational, governance, and risk management capabilities; Identify gaps and drive remediation actions prior to admission approval; Provide advice on ASX admission requirements and interpret Operating Rules; Manage complex or novel admission scenarios, including waivers and/or conditions; Support the design, development, and delivery of education initiatives; Identify common issues, knowledge gaps, and emerging trends in admission applications; Oversee transition from approval to operational readiness; Collaborate with internal teams (e.g., technology, operations); Provide technical leadership, mentoring and training in admission processes; Ensure staff are cross-trained to ensure appropriate coverage across the team.
Seniority
Principal, strategic oversight & team leadership
