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
Access to ASX markets and clearing and settlement facilities for new participants
Domain
Financial markets / Securities exchange / Compliance
Deliverable
client delivery
Required skills
Compliance assessment, due diligence, risk management evaluation, regulatory interpretation, process improvement, stakeholder guidance, waiver management, operational readiness oversight, team mentoring
Preferred skills
Managing complex/novel scenarios, driving remediation actions, designing education initiatives, identifying emerging trends, cross-functional collaboration
Technologies
N/A
Responsibilities
Manage and assess participant admissions; Lead end-to-end compliance assessment and decision-making for new participant applications; Act as the primary contact throughout the application assessment; 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; Interpret Operating Rules and provide clear guidance to applicants and internal stakeholders; Manage complex or novel admission scenarios, including waivers and/or conditions; Support the design, development, and delivery of education initiatives to support applicants and newly admitted entities; Support participant readiness and onboarding; Oversee transition from approval to operational readiness; Provide technical leadership, mentoring and training in admission processes; Ensure staff are crossed trained to ensure appropriate coverage across the team.
Seniority
Principal, strategy & mentorship