ASX names Daniel Moran as Chief Compliance Officer

Rick Steves

The appointment of Daniel Moran as Chief Compliance Officer possibly ends this year’s C-level executive reshuffle that included a new CEO and CFO.

The Australian Securities Exchange, ASX Limited, has announced that Daniel Moran has been confirmed in the role of Chief Compliance Officer of the company, having resigned as a Company Secretary of ASX effective 1 January 2023.

He has been acting in the role of Chief Compliance Officer since October 2022 and has now been appointed to the role in a permanent capacity, effective 1 January 2023.

Working at ASX since 2010 as Deputy General Counsel of Corporate, Daniel Moran joined the Australian Securities Exchange from Freehills, where he was Senior Associate and Solicitor for over eight years. Prior to that, he spent nearly three years at Herbert Smith as a Senior Associate.

ASX also announced that Johanna O’Rourke and Lucy Barnett continue to act as Company Secretaries of ASX. Johanna O’Rourke remains the person responsible for communications with the Australian Securities and Investment Commission in relation to listing rule matters.

ASX hired Andrew Tobin as CFO

In September, ASX appointed Andrew Tobin as its next Chief Financial Officer, replacing Gillian Larkins who leaved ASX at the end of August.

Andrew Tobin joins ASX from Challenger Limited, where he was CFO for nine years (2012-2021), and responsible for numerous operational areas including finance, investor relations, treasury, operations and information technology. He was Deputy CFO prior to that and has also worked at CBA, MLC and KPMG.

Under Andrew Tobin’s leadership, the strategy function at ASX will move to the CFO portfolio, the company announced.

ASX promoted Helen Lofthouse to CEO

ASX promoted Helen Lofthouse from Group Executive Markets to Managing Director and Chief Executive Officer in August 2022. She played the role of Group Executive of Markets at ASX since July 2021, having first joined the exchange group in 2015 as Executive General Manager, Derivatives and OTC Markets.

Her accomplished financial markets executive career counts more than 20 years of experience in cash equity and debt markets, listed and OTC derivatives, and clearing and settlement services, including the past almost seven years at ASX. The new ASX chief executive was previously based in London where she was a Managing Director at UBS. Before that, she worked in various senior roles at JPMorgan.

ASX is an integrated exchange offering listings, trading, clearing, settlement, technical and information services, technology, data and other post-trade services. ASX operates markets for a wide range of asset classes including equities, fixed income, commodities and energy.

Acting as a market operator, clearing house and payments system facilitator, ASX oversees compliance with its operating rules, promotes standards of corporate governance among Australia’s listed companies and helps to educate retail investors.

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