Lawyer - Financial Services

2 weeks ago

Sydney, New South Wales, Australia ASIC Full time

Banking & Finance Law (Legal)
Government - Federal (Government & Defence)

Full time

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 initialinquiriesto 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.

About you:

  • Legal experience within wealth management/financial planning, superannuation, investment management
  • Relevant tertiary legal qualification
  • Demonstrated experience undertaking legal research and policy work
  • Understanding of the law, practice, policy relating to the Corporations Act, the National Consumer Credit regime, the ASIC Act and other relevant financial services legislation
  • Excellent writing and drafting skills, and the ability to communicate verbally in a clear, concise and persuasive manner
  • Strong organisational skills, drive, initiative and ability to manage multiple stakeholders and projects
  • Experience communicating complex information to different target audiences through strong business writing and verbal communication skills
  • Experience in conducting legal research, providing legal advice and applying technical knowledge in a regulatory context
  • Ability to work independently with limited supervision and take responsibility for outcomes

ASIC is Australia's integrated corporate, markets, financial services and consumer credit regulator.

ASIC's vision is for a fair, strong and efficient financial system for all Australians.

To realise our vision we will use all our regulatory tools to:

Change behaviours to drive good consumer and investor outcomes;

Act against misconduct to maintain trust and integrity in the financial system;

Promote the strong and innovative development of the financial system;

help Australians to be in control of their financial lives.

There is a reason for everything we do, every law we regulate, every action we take, every interaction we have with industry and consumers. We're proud of the difference we make.

A future with ASIC means that you will work alongside those at the forefront of regulatory practice.

We value what you'll bring. We value those who have sharp analytical minds and are open to challenging the way things are done. Our opportunities cover all career stages from entry to leadership level.

ASIC is Australia's integrated corporate, markets, financial services and consumer credit regulator.

ASIC's vision is for a fair, strong and efficient financial system for all Australians.

To realise our vision we will use all our regulatory tools to:

Change behaviours to drive good consumer and investor outcomes;

Act against misconduct to maintain trust and integrity in the financial system;

Promote the strong and innovative development of the financial system;

help Australians to be in control of their financial lives.

There is a reason for everything we do, every law we regulate, every action we take, every interaction we have with industry and consumers. We're proud of the difference we make.

A future with ASIC means that you will work alongside those at the forefront of regulatory practice.

We value what you'll bring. We value those who have sharp analytical minds and are open to challenging the way things are done. Our opportunities cover all career stages from entry to leadership level.

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