Senior Executive Leader, Enforcement Inquiries & Compliance

Enforcement Inquiries and Compliance

Location: Multiple locations
Classification: Senior Executive Service
Work type: Temporary
Employment Status: Full-Time
Closing date: 11-Jun-2023

With ASIC you are choosing to be a part of a collegiate and stimulating organisation that's transforming Australia's financial system.

Be the change that ensures a fair, strong and efficient financial system for the benefit of all Australians.

The Aboriginal FlagThe Torres Strait Islander FlagLGBTQI Flag
  • High profile leadership position where you will oversee the conduct of ASIC's initial enquiries and compliance work within ASIC's Enforcement and Compliance Group
  • Provide thought leadership, build capabilities and lead people through change
  • Fixed term role for 3 years. Melbourne, Sydney, Brisbane (other locations considered)


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 Portfolio Management and Enforcement Services. The Enforcement Inquiries and Compliance function is focused on the management of referrals into ECG, the conduct of initial inquiries to assess potential misconduct, compliance activity, and referral of misconduct to other enforcement teams for enforcement action. The Senior Executive Leader, Enforcement Inquiries and Compliance reports to the Executive Director, Enforcement & Compliance.


As Senior Executive Leader, Enforcement Inquiries and Compliance, you will be required to: 

  • Execute the ECG business plan, playing an active role in determining the ongoing strategic direction of ECG as part of the ECG Executive team.
  • Lead Enforcement Inquiries and Compliance teams who support the operation of the Regulatory Triage committee, undertake initial inquiries into misconduct and implement compliance outcomes. The EI&C teams include:
    • The Small Business Enforcement Inquiries & Compliance team who respond to reports of misconduct and breach notifications in the small business sector and undertake related compliance activities;
    • The Assetless Administration Fund Assessment team who assess complex applications for AA funding and oversee the administration of grants provided for preliminary investigations and reports by liquidators into the failure of companies with few or no assets; and
    • Teams with industry expertise in financial advice, superannuation, investment management, insurance, credit, banking and insolvency who conduct initial inquiries into misconduct and implement compliance and administrative enforcement outcomes


  • Implement a new operating model that integrates new and existing processes, both enforcement and regulatory.
  • As part of the Enforcement and Compliance Group leadership team, provide thought leadership and lead teams to their full potential.
  • Work in collaboration across ASIC to identify appropriate regulatory strategies to influence behaviour of the regulated population.
  • Manage the potential impact of risks, ensuring business continuity and operational risk frameworks are in place.
  • Build effective relationships with key stakeholders and represent ASIC externally.
  • Represent the group at Commission Enforcement Committee meetings and support presentation of papers by teams.




About you

You will have senior leadership experience, leading large teams, building capability in a team and leading people through change. You will have extensive experience at a senior level in a regulatory environment.

You will have experience in managing complex compliance and regulatory issues in an evolving environment and have experience in applying technical regulatory understanding and knowledge practically and strategically.


About ASIC

ASIC's remit is one of the broadest of regulators across the world. 

ASIC regulates corporations, markets, financial services and consumer credit and monitors and promotes market integrity and consumer protection in the Australian financial system.

Through our enforcement work, we hold to account those who contravene the law, working to achieve strong outcomes that address the greatest consumer and investor harms.

Through Moneysmart, we aim to improve the skills and knowledge of Australians and provide information and tools to help them in their decision making.

A future with ASIC means that your work will contribute to achieving ASIC's vision for a fair, strong, and efficient financial system for all Australians.

ASIC is committed to a providing a diverse and inclusive workplace where the very best talent in Australia chooses to work. Indigenous Australians are encouraged to apply as well as applicants from all backgrounds and with different abilities.


Applications for this role will close at 11:59pm on 11 June 2023

At ASIC, we're proud of the difference we make to Australia's economic reputation and wellbeing.

Our values – accountability, professionalism and teamwork – underpin everything we do.

APT logo:Accountability Professionalism Teamwork

Powered by Springboard