The Investment Managers team is responsible for supervising Australian Financial Services (AFS) licensees who are licensed to act as responsible entities (REs), investment managers, custodians, platform operators, managed discretionary account (MDA) providers and trustees of wholesale funds.
Our work includes conducting industry surveys, risk-based surveillance and seeking regulatory outcomes, reviewing applications for relief from provisions of the Corporations Act, providing advice, reviewing policy settings and law reform affecting our regulated population.
From early on in your career with us you will have the opportunity to identify threats and harms that have the potential to cause financial hardship and loss for individual consumers and investors. You will influence and make decisions using your legal and evidential analysis to ensure the Australian financial market is efficient, fair and transparent.
In this role you will:
Participate in risk-based surveillance and other regulatory projects to protect investors and ensure compliance with the law
Under direction, assess and resolve complex matters such as applications for relief from provisions of the Corporations Act, assessing breach reports, processing scheme registrations, assessing scheme and investor disclosures, while considering the investor, commercial and regulatory implications of ASIC's decisions
Assist in the drafting and settlement of legislative instruments, stop orders and legal notices to provide information or documents
Assist with investigating suspected misconduct and the drafting of referrals to ASIC's Enforcement team
Assist in developing, reviewing, and applying policy related to the legislation administered by the Investment Managers team, and
Contribute to the preparation of consultation papers, research reports, regulatory guides and policy submissions.
The base salary ranges from $81,724 to $91,268 (based on your experience) plus 15.4% superannuation and a performance bonus scheme.
At the heart of what we are looking for is an inquisitive legal mind and people who enjoy casting a critical eye. We want you to bring your dedication and legal experience to assessing complex regulatory matters and solving novel problems. You will enjoy working in collaboration with your colleagues to solve problems and make recommendations using data and stakeholder input.
You will have a law degree and be an articulate communicator who has excellent drafting and written skills. You will be adept at drawing out and verifying information and have a willingness to exercise your judgements.
ASIC can offer you a variety of interesting and challenging work. We provide the support for our employees to develop professionally and succeed. ASIC offers a range of programs such as flexible work practices and development programs which include a focus on gender equity and women in leadership.
ASIC is committed to providing a diverse and inclusive workplace where the very best talent in Australia chooses to work. We encourage applicants from diverse backgrounds to apply, including Indigenous Australians and people with a disability.
To work with us, you must be an Australian citizen, and be prepared to complete an ASIC Organisational Suitability Assessment (OSA) in addition to obtaining a Government Security Clearance issued by the Australian Government Security Vetting Agency (AGSVA).
Click 'apply' and submit your application by 8 November 2019.
Internal Number: 6740843
About ASIC - Australian Securities and Investments Commission
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