Principal Analyst - Enforcement

ASX: Powering Australia's financial markets

Why join the ASX?

When you join ASX, you’re joining a company with a strong purpose – to power a stronger economic future by enabling a fair and dynamic marketplace for all.

In your new role, you’ll be part of a leading global securities exchange with a strong brand. We are known for being a trusted market operator and an exciting data hub.

Want to know why we are a great place to work, click on the link to learn more.

We are more than a securities exchange!

The ASX team brings together talented people from a diverse range of disciplines.

We run critical market infrastructure, with 1 in 3 people employed within technology. Yet we have a unique complexity of roles across a range of disciplines such as operations, program delivery, financial products, investor engagement, risk and compliance.

We’re proud to foster a workplace where diversity is celebrated and inclusion is part of our everyday culture. Our employee-led networks champion LGBTIQ+ inclusion, promote gender equality, accessibility and wellbeing, inspire giving and volunteering, and celebrate cultural and religious events, creating a sense of belonging for all. As an AWEI Bronze employer and member of the Champions of Change Coalition for gender equality, we’re committed to a fair and inclusive workplace where everyone can thrive.

ASX Enforcement is a specialist function established by ASX, and operating within ASX Supervision, to enforce compliance with the ASX Group Operating Rules by participants and plays a key role in ensuring ASX meets its licence obligations. The ASX Enforcement team is responsible for bringing enforcement action against market, clearing and settlement participants for breaches of ASX's Operating Rules. The Head of Enforcement is also responsible for setting and implementing the strategic direction for enforcing non-compliance with the ASX Listing Rules by listed entities.

In this role, as a principal analyst you will contribute to the work of the ASX Enforcement team by:

• Working with Participant Supervision to assist with participant investigations, including but not limited to:


• Reviewing allegations, complaints, referrals and self-reported breaches of the ASX Operating Rules.


• Gathering, analysing and assessing information and evidence to establish relevant facts and circumstances.


• Investigating potential instances of non-compliance with the ASX Operating Rules and Procedures.


• Preparing clear, evidence-based investigation reports, findings and recommendations.


• Drafting tailored correspondence and submissions for participants, internal stakeholders and external legal advisers.


• Maintaining objective, professional and procedurally fair engagement with participants throughout investigations and enforcement action.


• Maintaining timely and accurate investigation and enforcement action records.


• Contributing to periodic reporting on participant enforcement outcomes and emerging trends and risks.


• Driving participant compliance and accountability


• Assisting Participant Supervision on monitoring remediation activities and implementation of early corrective actions through enforcement intervention.


• Promoting compliance with the ASX Operating Rules and Participant Supervision framework through timely, effective and proportionate enforcement actions.


• Supporting policy, process improvement and strategic initiatives


• Assisting in enhancing and maintaining participant supervision and enforcement processes, case management practices and reporting frameworks.


• Contributing to supervision-led projects, regulatory change initiatives and continuous improvement activities.


• Supporting the delivery of division wide strategic compliance initiatives.


• Supporting participant education and engagement


• Contributing to educational activities that assist participants in understanding and meeting their obligations.


• Sharing knowledge and regulatory insights with internal stakeholders.


• Contributing to the development of guidance materials and supervision communications.


• Delivering capability uplift and knowledge sharing


• Contributing to knowledge sharing within enforcement and internal stakeholders.


• Supporting cross-training activities to ensure appropriate coverage across the team and the division.


• Assisting in developing technical knowledge and enforcement capability within the team.

• A tertiary qualification in law, accounting, finance, business, economics or related disciplines
• At least 7 years’ relevant industry or professional experience
• Good understanding of Australia’s financial markets and operations or international comparative 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

We make hiring decisions based on your skills, capabilities and experience, and how you’ll help us to live our values. We encourage you to apply even if you don’t meet all the criteria of this role.

If you need any adjustments during the application or interview process to help you present your best self, please let us know at View email address on decentrajobs.com.

At ASX Group, our diverse workforce is essential to build and maintain a fair and dynamic marketplace. 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.

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

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