Key Purpose of the Role

As Senior Manager, Investment Products Supervision, you will play a senior leadership role in overseeing ASX’s quoted investment products framework, with accountability for both product admissions and ongoing supervision. You will apply sound judgement and commercial insight to complex and often novel product issues; engage directly with issuers, advisers and ASIC; and contribute to the evolution of ASX’s regulatory framework to safeguard market integrity and support orderly market development.

Strategic Leadership and Accountability

Lead ASX’s investment products admissions and supervision functions, ensuring high quality supervisory outcomes across the product lifecycle. Set clear expectations for decision‑making quality, risk escalation, record‑keeping and stakeholder engagement. Provide oversight and guidance on complex, high‑risk or novel matters, including structured products and emerging product types. Contribute to the production of professional, accurate and timely reports for regulators, management and the ASX board. Represent Investment Products Supervision on internal and external project committees and working groups addressing admissions and ongoing supervision issues.

Market Supervision and Decision‑Making

Use your experience and sound judgement to ensure that any issues with an applicant or its application that could impact on the integrity and reputation of ASX’s market are appropriately identified, escalated and resolved. Maintain strong processes for reviewing and assessing applications and applicants with proper regard to ASX’s requirements, regulatory obligations and good risk management practices. Ensure supervisory responses are timely, proportionate and aligned with ASX’s objectives and supervisory role. Identify emerging risks, themes and trends in investment products markets and ensure appropriate supervisory or policy responses.

Issuer, Adviser and Regulator Engagement

Engage directly with issuers, responsible entities, trustees and professional advisers on governance, product design, structuring and compliance matters,



while developing a strong culture within the team of proactive and effective communication. Help educate listed products and other stakeholders on AQUA rule issues by developing training programs, giving presentations, participating in panels, and publishing educational materials. Engage regularly, openly and constructively with ASIC, and communicate and co‑operate on matters of shared regulatory concern in a professional and timely manner.

Policy, Waivers and Market Development

Help shape policy and guidance to ensure ASX’s framework remains fit‑for‑purpose as products, market structures and investor behaviour evolve. Provide regulatory input into internal projects to ensure compliance and supervision considerations are embedded in product, service and system changes. Engage directly and thoughtfully in the development of policy and guidance for investment products, with a strong focus on the integrity and reputation of the ASX market, while taking into account the impact of any proposed change on issuers and investors.

Capability, Leadership and Culture

Drive the alignment and engagement of the Investment Products team with ASX goals, values and service standards. Monitor performance of the team with established service levels and risk management requirements and ensure they are met, while ensuring staff adhere to ASX policies, procedures and internal controls. Lead, develop and support the Manager, Investment Products Admissions and Manager, Investment Products Supervision as team leaders. Build capability, bench strength and succession across the Investment Products team. Proactively look for opportunities to improve the effectiveness and efficiency of the team. Foster a culture of insight, judgement, curiosity, continuous improvement and high‑quality record‑keeping.



Promote collaboration across Admissions and Supervision and with other ASX teams.

Qualifications

- Tertiary qualification in law, accounting, finance, business, economics or a related discipline.
- Significant senior qualified experience (10+ years) in areas such as exchange‑traded products, capital markets, financial services, funds management, financial markets regulation or professionally‑advised corporate environments.
- Strong working knowledge of the ASX Operating Rules and the Corporations Act, and the ability to apply them to complex and novel investment product scenarios.
- Well‑developed understanding of exchange‑traded and investment products, including admissions, structuring, disclosure, liquidity, market making and ongoing supervision.
- Demonstrated ability to exercise sound regulatory and commercial judgement in ambiguous, high‑impact situations.
- Proven capability to engage confidently with senior external stakeholders while maintaining regulatory independence.
- Demonstrated experience leading senior professionals and developing high‑performing teams.

Nice to Have

- Tertiary degree in law.
- Direct experience engaging with regulators or market operators on policy, supervisory or enforcement matters.
- Backgrounds spanning funds management, structured products, law or regulation that demonstrate breadth of market insight.
- Experience contributing to regulatory reform, guidance development or framework design.

Benefits & Working Conditions

We support flexible working and offer hybrid working options. Even if our roles are advertised as full‑time, we encourage you to apply if you are interested in part‑time or other flexible working arrangements.

Background checks, including reference and police checks, will be completed as part of the onboarding process.

Legal authorization to work in Australia on a permanent basis without any restrictions is required.

If you require adjustments during the application or interview process to help you present your best self, please contact

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📌 Senior Manager, Investment Products (City of Sydney)
🏢 ASX
📍 City of Sydney