Responsibilities

- In this role, you will manage the end‑to‑end admission and onboarding of participants, ensuring only suitable entities are approved to access ASX markets and clearing and settlement facilities.
- 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.
- Ensure compliance with ASX market and facilities rules and admission requirements.
- 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 in understanding and meeting ASX admission requirements and ongoing obligations.
- Provide proactive education to applicants on admission criteria, listing rules, and expectations to support high‑quality and effective applications.
- Identify common issues, knowledge gaps, and emerging trends in admission applications to inform targeted process improvements.
- Support the design and continuously improve admission frameworks, enhancing admission policies, procedures, and assessment methodologies.
- Ensure alignment with evolving regulatory expectations and market developments.
- Support participant readiness and onboarding.
- Oversee transition from approval to operational readiness (e.g. connectivity, testing, controls validation).
- Collaborate with internal teams (e.g. technology, operations).




- Protect market integrity at the point of entry.
- Ensure risks are identified and mitigated before granting access to ASX markets and facilities.
- Apply robust judgement in approving, conditioning, or declining applications.
- Contribute to team capability.
- Provide technical leadership, mentoring and training in admission processes.
- Share insights and lessons learned to strengthen admission practices.
- Ensure staff are cross‑trained to ensure appropriate coverage across the team.
- Undertake other duties as required.

Must Have

- A tertiary qualification in law, accounting, finance, business, economics or related disciplines.
- At least 10 years’ relevant industry or professional experience.
- Good understanding of Australia’s financial markets and operations or international comparison covering equities, derivatives, OTC, clearing and settlement.
- Practical knowledge of the competencies required to operate in the ASX markets and clearing and settlement facilities (or international comparison).
- Practical knowledge of compliance and risk methodologies.
- Highly developed analytical, investigative, and problem‑solving abilities.
- Exceptional verbal, written, presentation, and communication skills.

Nice To Have

- Able to manage the pressure of urgent matters and competing priorities.
- An enquiring mind and the determination to push back when information or explanations provided by participants appear inadequate.
- Agile, adaptable, and resilient – able to manage change and be positive.
- Objectivity and fairness.
- An eye for detail and a concern for quality.

We will arrange for successful candidates to have background checks, including reference and police checks, completed as part of the onboarding process.

To be considered for this position, candidates must be legally authorised to work in Australia on a permanent basis without any restrictions.

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📌 Principal Adviser - Participant Supervision Admissions (City of Sydney)
🏢 ASX
📍 City of Sydney