Senior Adviser (Investigations)

Responsible for participant supervision activities within the Participant Supervision team, focusing on compliance and risk oversight.

Key Responsibilities

- Manage participant supervision activities and support ongoing participant relationships, acting as the primary contact for allocated participants on supervision and compliance matters, and maintaining constructive, risk‑aware engagement.
- Conduct participant investigations and compliance reviews, including reviewing allegations, complaints, referrals, and self‑reported breaches of the ASX Operating Rules, gathering, analysing and assessing evidence to establish facts and circumstances.
- Investigate potential instances of non‑compliance with ASX Operating Rules and procedures, prepare clear, evidence‑based investigation reports, findings and recommendations, and identify, escalates and supports the resolution of breaches.
- Review notifications, disclosures, submissions and requests for relief, evaluate filings for compliance with Operating Rule requirements, assess applications for waivers and relief, and prepare case reports and management information.
- Maintain accurate records of supervision, monitoring and investigation activities and contribute to periodic reporting on compliance outcomes and emerging risks.
- Drive participant compliance and accountability by supporting participants in addressing identified compliance issues, monitoring remediation activities, and promoting adherence to the Operating Rules.
- Support policy,



process improvement and strategic initiatives, including enhancing supervision processes, case management practices, reporting frameworks, and contributing to regulatory change initiatives.
- Support participant education and engagement, develop guidance materials and communication, and deliver capability uplift and knowledge sharing within the team.
- Undertake other duties as required.

Qualifications

- Tertiary qualification in law, accounting, finance, business, economics or related disciplines.
- At least 7 years of relevant industry or professional experience.
- Strong understanding of Australia’s financial markets and operations, including equities, derivatives, OTC, clearing and settlement, or international comparatives.
- Practical knowledge of competencies required to operate in ASX markets and clearing/settlement facilities.
- Practical knowledge of compliance and risk methodologies.
- Highly developed analytical, investigative and problem‑solving abilities.
- Exceptional verbal, written, presentation and communication skills.
- Ability to manage pressure of urgent matters and competing priorities.
- Enquiring mind with determination to push back when information provided by participants is inadequate.
- Agile, adaptable and resilient – able to manage change and maintain a positive attitude.
- Objective and fair, with an eye for detail and concern for quality.

Advantages

Flexible and hybrid working arrangements available, with support for part‑time or other flexible working options.

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📌 Principal Adviser, Participant Management, Investigations (City of Sydney)
🏢 ASX
📍 City of Sydney