Lawyer

at  ASIC

A future with ASIC means that your work will contribute to ASIC’s vision for a fair, strong and efficient financial system for all Australians. We value what you will bring. We value those with sharp, analytical minds and are open to challenging the way things are done.
The Team
ASIC’s Enforcement and Compliance Group (ECG) is responsible for the conduct of ASIC’s initial inquiries, compliance and enforcement work across all sectors excluding markets. The ECG comprises Investigation and Enforcement Action, Enforcement Inquiries and Compliance, Enforcement Services and Enforcement Policy and Practice.
The Enforcement Inquiries and Compliance function is focused on the management of referral processes,the conduct of initial inquiries to assess potential misconduct, compliance activity,and referral of misconduct to other enforcement teams for enforcement action.
The Role

The Lawyer for Enforcement Inquiries and Compliance (EI&C) is involved in actively sourcing potential new enforcement matters that align with ECG’s business plan strategic priorities. The Lawyer is responsible for working on matters that have been accepted by ECG for investigation and enforcement action.

• Conduct and manage large and complex investigations into suspected cases of misconduct
• Employ a range of evidence gathering techniques including conducting examinations, interviewing witnesses, taking witness statements and undertaking document review using electronic tools.
• Derive insights from data, information and documents gathered during the investigation and compile them into relevant evidence.
• Proactively identify legal, policy and technical issues requiring further assessment and provide recommendations.
• Work in partnership with other ASIC teams to achieve effective outcomes.
• Brief senior management and the Commission on investigation progress and to seek instructions.
• Develop new and more efficient ways for the team to operate.
• Communicating to internal and external audiences in an impactful, engaging, and influential way.

• Conduct and manage large and complex investigations into suspected cases of misconduct
• Employ a range of evidence gathering techniques including conducting examinations, interviewing witnesses, taking witness statements and undertaking document review using electronic tools.
• Derive insights from data, information and documents gathered during the investigation and compile them into relevant evidence.
• Proactively identify legal, policy and technical issues requiring further assessment and provide recommendations.
• Work in partnership with other ASIC teams to achieve effective outcomes.
• Brief senior management and the Commission on investigation progress and to seek instructions.
• Develop new and more efficient ways for the team to operate.
• Communicating to internal and external audiences in an impactful, engaging, and influential way