Lawyers – Enforcement and Compliance

• Work on a variety of high-profile enforcement matters that hold to account those who contravene the law, and work to achieve outcomes that address the greatest consumer and investor harms
• Opportunities available across Sydney, Melbourne, Adelaide, Brisbane, Hobart and Perth
• Salary from $75,838 to $101,716 (depending on experience) + 15.4 % superannuation
• Continuing Professional Development – on-going formal and informal training opportunities and mentoring programs

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.

Our team 

ASIC’s Enforcement and Compliance Group (ECG) is responsible for the conduct of ASIC’s initial inquiries, compliance and enforcement work across a range of sectors. In 2022-23, more than 130 new investigations were commenced and enforcement actions resulted in 35 criminal convictions and almost $190 million in civil penalties and fines imposed by the courts. As one of ASIC’s largest business groups, Enforcement and Compliance is constantly working on a variety of new and interesting projects and priorities, meaning that opportunities to join the team are frequently arising across our various teams:

Enforcement Inquiries and Compliance (EIC) focuses on undertaking initial investigations and compliance activity on early referrals of misconduct.   Importantly, EIC recommendations on the early referrals are used to guide ASIC’s decision making around whether the matter should be allocated to an Investigation and Enforcement Action team for further investigation, or whether it remains in EIC to seek an administrative or compliance outcome.

Investigation and Enforcement Action (IEA) teams manage complex investigations of suspected misconduct against individuals and entities across a range of sectors.  The IEA team is responsible for the end-to-end conduct of the investigation as well as any resulting civil or criminal proceedings.   IEA teams, supported by ASIC Litigation Counsel, conduct in-house civil litigation.  Criminal proceedings (which can include contraventions against both Commonwealth and State law) are prosecuted through the Commonwealth DPP.

Please note that we currently have vacancies for Lawyers across both IEA and EIC teams. This process allows you to be considered for either team, as well as future vacancies across ECG. Please note that this recruitment process will establish a pool of investigators to fill current and future vacancies in our ECG teams.

The role 

As a Lawyer, you will contribute to ASIC’s investigations of suspected misconduct, including obtaining enforcement outcomes. You will have the opportunity to participate in varied, interesting and impactful work. More specifically, you will:

• Contribute to preparing and conducting enforcement action including civil litigation, criminal prosecution and administrative action.
• Contribute to the preparation and compilation of criminal, civil and administrative briefs and provide support to any proceedings in State or Federal Courts
• Work as part of multi-disciplinary enforcement teams.
• Engage in investigation planning and discussions about scope and strategy.
• Project manage matters and/or provide investigative support to other ASIC officers
• Employ a range of evidence gathering techniques, including conducting compulsory examinations, interviewing witnesses, participating in the execution of search warrants, taking witness statements, preparing affidavits and issuing compulsory notices.
• Utilise ASIC’s evidence management technology and other systems to derive insights from data, information and documents
• Consider the interpretation and application of the law to aspects of ECG’s work.

Please note that we currently have vacancies for Lawyers across both IEA and EIC teams. This process allows you to be considered for either team, as well as future vacancies across ECG.  This recruitment process will establish a pool of lawyers to fill current and future vacancies in our ECG Teams.

About you

As the ideal candidate you will be inquisitive, have an analytical mind set and be comfortable working with complex information in a changing environment. You will be proactive and outcome-driven, with the ability to see how your work contributes to the bigger picture. With a consultative and collaborative interpersonal style, you will enjoy working as part of a large, multi-skilled team.

In addition, you will:

• Have legal qualifications and a current practicing certificate.
• Be comfortable working with large and complex information, or data sets, using evidence management software, investigative strategies, tools and technologies.
• Have a willingness to work across cases and teams to support business requirements and strategic priorities.
• Be comfortable prioritising tasks within and across matters, taking advice where required, to progress and complete matters within the timeframes and target dates.
• Be passionate about using your legal skills to make a positive difference for investors and consumers in the Australian financial system.

Experience in the conduct of civil or criminal litigation matters is necessary for lawyers in the IEA teams and will otherwise be well regarded.

To work with us, you need to be an Australian citizen and be prepared to complete an ASIC Suitability and Baseline Assessment which is issued by ASIC’s Security team.

What we offer you 

ASIC invests in their people and values a strong cultural environment. Benefits for you include:

• Professional development opportunities, including mentoring programs and on-going training.
• 50-50 hybrid work from home model
• Access to flex-time
• 20 days of annual leave, plus additional paid leave during the Christmas closedown and 18 days of personal leave
• A supportive culture where we celebrate wins and express appreciation.

Click here to read more about ASIC’s employee benefits.

Applications for this role will close at 11:59pm on Monday 3rd February 2024.  

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