Principal Adviser, Investment Products Compliance

ASX

Hybrid
5-8 years professional experience in capital markets
Strong working knowledge of asx operating rules
Ability to apply corporations act in practice
This role involves supervising ASX's quoted investment products and warrants markets while safeguarding market integrity

Job Summary

  • This role involves supervising ASX's quoted investment products and warrants markets while safeguarding market integrity.
  • The successful candidate will engage directly with issuers, advisers, and ASIC on complex and novel product structures.
  • ASX fosters a diverse and inclusive workplace culture that celebrates belonging for all employees.

Matching Summary

This role involves supervising ASX's quoted investment products and warrants markets while safeguarding market integrity.

Skills & Requirements

Must-have

  • 5-8 years professional experience in capital markets
  • Strong working knowledge of ASX Operating Rules
  • Ability to apply Corporations Act in practice
  • Experience analyzing complex product structures
  • Excellent written and verbal communication skills

Nice-to-have

  • Tertiary degree in law is an advantage
  • Direct experience in funds management or ETFs
  • Background in financial markets regulation or enforcement
  • Hands-on experience applying rules to investment products
  • Experience working closely with regulators on novel issues

Key Requirements

  • Tertiary qualification in law, accounting, finance, business, or economics
  • 5-8+ years relevant professional experience
  • Legal authorization to work in Australia permanently without restrictions

Work Rights

Must be legally authorised to work in Australia permanently without restrictions

Tailored Resume

Cover Letter