Manager, Investment Products & Market Supervision

- Innovative stock exchange group

- Asia Pacific-market focused

- Sydney CBD location

About Sydney Stock Exchange (SSX)

Sydney Stock Exchange is focused on connecting investors, companies and market participants across Australia and the Asia-Pacific region.

Our client is building a modern exchange that combines the strength and regulatory standards expected of a Tier One market with an agile and innovative approach to products, technology and market participation.

SSX’s focus is on creating efficient, transparent and well-regulated markets that provide investors with access to a broader range of investment opportunities and enable Australian and Asia-Pacific companies and issuers to access capital.

This is an opportunity to join SSX at an exciting stage of its development and contribute directly to the evolution of its products, market framework and supervisory capability.

The Opportunity

SSX is seeking a Manager, Investment Products & Market Supervision to support the admission, oversight and ongoing supervision of investment products traded on the Exchange.

The role will suit a commercially minded regulatory or financial markets qualified who is comfortable working across product admissions, market supervision, issuer engagement, regulatory analysis and policy development.

You will assess new and existing investment products, work with issuers and their advisers, identify and manage emerging regulatory and market risks, and contribute to the development of rules, policies and processes that support innovation while maintaining market integrity.

Because SSX is continuing to develop its product offering and market framework, the role will involve dealing with new and novel products, structures and business models. You will need to be comfortable operating in situations where there may not always be an established precedent and where sound judgement is as important as technical knowledge.

The role is a Manager-level position. It is intended for a capable hands-on professional who can independently manage matters and projects, rather than a senior executive responsible for leading a large established function.

Your Team

The Investment Products & Market Supervision function is responsible for supporting SSX’s framework for the admission and ongoing supervision of investment products and other exchange-traded securities.

The team works closely with the Exchange's market operations, listings, legal, compliance, technology and risk functions, as well as issuers, responsible entities, trustees, advisers, market participants and regulators.

The team plays an important role in ensuring that SSX can support product innovation while maintaining market integrity, investor confidence, regulatory compliance and orderly markets.

Your Responsibilities

Investment Product Admissions

- Assess applications for the admission of investment products and other securities to trading on SSX.

- Review product structures, constitutional and governance arrangements, disclosure, liquidity, market-making arrangements and other relevant admission requirements.

- Identify and assess legal, regulatory, operational, market and reputational risks associated with proposed products and issuers.

- Review applications and supporting materials and prepare clear recommendations and briefing materials for relevant internal committees and decision-makers.

- Engage with issuers, responsible entities, trustees, sponsors, advisers and other stakeholders throughout the admission process.

- Provide practical guidance to applicants on SSX requirements while maintaining appropriate regulatory independence.

Ongoing Supervision

- Monitor admitted investment products and issuers for compliance with applicable SSX rules, admission conditions and continuing obligations.

- Identify emerging issues,



regulatory risks and market conduct concerns and recommend appropriate supervisory responses.

- Assess requests for waivers, variations, rule interpretations and other regulatory relief.

- Conduct targeted reviews and thematic assessments of investment products and issuers where appropriate.

- Escalate significant or unusual matters and assist in determining proportionate and risk-based responses.

- Maintain appropriate records of supervisory decisions, assessments, correspondence and supporting analysis.

Innovation and New Products

- Support SSX’s development and admission of new and innovative investment products.

- Assess novel product structures and business models, including products involving new technologies, digital assets, tokenisation or other emerging market infrastructure where relevant.

- Identify regulatory and operational issues arising from current products and work with internal stakeholders to develop appropriate frameworks and controls.

- Monitor developments across Australian and international markets and identify opportunities for SSX to enhance its product offering.

- Contribute to projects designed to expand SSX’s participation and relevance across the Asia-Pacific region.

Regulatory and Policy Development

- Contribute to the development and review of SSX rules, policies, procedures and guidance relating to investment products and market supervision.

- Research and analyse developments in Australian and international financial markets regulation.

- Provide regulatory input into current products, services, systems and market initiatives.

- Prepare papers, reports and recommendations for management, committees and the Board where required.

- Assist with regulatory engagement and correspondence with ASIC and other relevant regulatory bodies.

- Support SSX’s response to regulatory consultations and industry developments.

Issuer and Market Participant Engagement

- Establish constructive working relationships with issuers, fund managers, responsible entities, trustees, sponsors, advisers, market makers and other market participants.

- Explain SSX requirements and provide practical guidance on product structures and continuing obligations.

- Represent the SSX at relevant industry meetings, conferences, forums and educational sessions.

- Develop and maintain a robust understanding of the needs of Australian and Asia-Pacific issuers, investors and market participants.

- Help promote SSX as an innovative, accessible and well-regulated market.

Market Integrity and Risk

- Apply a risk-based approach to product admissions and ongoing supervision.

- Consider the potential impact of products and issuers on investor protection, market integrity, orderly markets and the reputation of the Exchange.

- Identify issues requiring escalation and work collaboratively with Legal, Compliance, Market Operations, Risk and other functions to resolve them.

- Contribute to the development of effective supervisory controls, processes and management information.

- Maintain high standards of judgement, independence, confidentiality and qualified conduct.

Continuous Improvement

- Identify opportunities to improve the efficiency, consistency and quality of the Exchange's admissions and supervisory processes.

- Develop practical templates, procedures, guidance and tools to support the team's work.

- Use technology and data to improve regulatory oversight, workflow and risk identification.





- Contribute to building a scalable supervisory framework as the Exchange's products and participant base grow.

What Our Client is Looking For

Must Have

- A tertiary qualification in law, finance, accounting, economics, business or a related discipline.

- Approximately 3–8 years' relevant professional experience in financial markets, securities exchanges, funds management, investment products, financial services regulation, corporate advisory, legal practice or a related field.

- Sound understanding of Australian financial markets regulation and the Corporations Act, with the ability to interpret and apply regulatory requirements to practical situations.

- Understanding of investment products and securities, including some combination of ETFs, managed funds, REITs, warrants, structured products, listed securities or other exchange-traded products.

- Experience analysing complex issues, identifying risks and developing practical recommendations.

- Robust written and verbal communication skills, including the ability to prepare concise and well-reasoned papers and recommendations.

- Ability to engage confidently with issuers, advisers, market participants and other professional stakeholders.

- Strong attention to detail and a disciplined approach to documentation and record-keeping.

- Demonstrated ability to work independently, manage multiple matters and meet deadlines in a fast-moving environment.

- Sound judgement, intellectual curiosity and a willingness to challenge conventional approaches where appropriate.

Nice to Have

- Experience working directly with a securities exchange, market operator, clearing or settlement facility, regulator or other financial market infrastructure.

- Experience in investment products, funds management, REITs, ETFs, structured products or capital markets.

- Experience with product admissions, listing rules, waivers, continuing obligations or regulatory supervision.

- Legal qualification or professional qualification in finance, accounting, compliance or risk.

- Experience with emerging areas such as digital assets, tokenisation, blockchain, AI-enabled financial products or other financial market innovation.

- Experience working with issuers, advisers or investors from Australia and/or the Asia-Pacific region.

- Experience developing policies, regulatory frameworks or operating procedures in a growing organisation.

The Person

Our client is looking for someone who is:

- Curious – interested in how financial markets and investment products are evolving.

- Commercial – understands the needs of issuers, investors and market participants while maintaining regulatory independence.

- Analytical – able to break down complex legal, regulatory and commercial issues and reach practical conclusions.

- Pragmatic – able to distinguish material risks from issues that can be managed through appropriate controls.

- Independent – comfortable making and defending well-reasoned decisions.

- Collaborative – works effectively across legal, compliance, operations, technology, product and commercial teams.

- Innovative – open to new products, technologies and ways of operating.

- Hands-on – willing to get into the detail and take ownership of matters rather than simply delegate.

- Asia-Pacific minded – interested in the development of cross-border capital markets and the needs of investors, issuers and participants across the region.

Our client values diversity of experience, thought and background. SSX is looking for people who are intellectually curious, commercially aware and motivated to help build the next generation of financial markets.

How to Apply
Please forward your CV to ••••@financerecruitment.com.au
Please note that all applications are strictly confidential and only short-listed candidates will be contacted.

📌 Manager, Investment Products & Market Supervision (Sydney)
🏢 Nameless
📍 Sydney