Job Description

Senior Adviser (Investigations)

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

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Key Responsibilities

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- 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.
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- 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.
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- 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.
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- 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.
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- Maintain accurate records of supervision, monitoring and investigation activities and contribute to periodic reporting on compliance outcomes and emerging risks.
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- Drive participant compliance and accountability by supporting participants in addressing identified compliance issues, monitoring remediation activities, and promoting adherence to the Operating Rules.
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- Support policy,



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

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

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

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📌 Principal Adviser, Participant Management, Investigations (New South Wales)
🏢 ASX
📍 New South Wales