Officer - Participants Compliance

The officer role will help the adviser manage their portfolio of participants in ASX's markets, clearing and settlement facilities:

• Helping to protect the integrity and reputation of those markets and facilities by delivering effective compliance outcomes; and
• Professionally and efficiently assisting advisers to support participants to comply with their obligations under the Operating Rules for those markets and facilities

What you'll do:

• Support Compliance Advisers in managing their participants
• Help protect the integrity and reputation of ASX's markets and clearing and settlement facilities by diligently:
  • reviewing ad hoc and periodic filings for conformity with ASX's Operating Rule requirements
  • assisting in the review of self-reports of Operating Rule breaches by participants
  • investigating allegations or complaints of non-compliance with the Operating Rules by participants
  • identifying, escalating and resolving any potential breach of the Operating Rules by participants
  • reviewing and diligently processing applications for admission as a participant for conformity with ASX's requirements
  • conducting monitoring reviews into compliance with particular Operating Rule requirements
• Develop a good knowledge of the Operating Rules and their application
• Develop a good understanding of the financial markets as well as clearing and settlement facilities
• Develop a good understanding of participant systems, operations and connectivity models
• Undertake any other work assigned to you by your Manager

What you've done:

• A tertiary qualification in law, accounting, finance, business, economics or related disciplines or have completed at least 2 years of study toward this qualification.

And if you've got some of this, even better:

• Good analytical and problem solving skills
• Comfortable using Excel
• Exposure to Compliance is beneficial

What you need to enjoy and be good at for this role:

• Unquestionable integrity
• Good oral / written communication skills
• An enquiring mind
• An eye for detail and a concern for quality
• Able to work effectively and co-operatively in a team environment

Apply to Careers@asx.com.au