Senior Executive Leader, Investigation & Enforcement

Investigation and Enforcement Action

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.

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  • High profile leadership positions providing strategic direction to ensure investigations and enforcement actions deliver outcomes consistent with ASIC's strategic objective
  • Be accountable for the effective use of investigation and enforcement powers to deter behaviour and protect consumers from financial harm
  • Fixed term for 3 years, 2 roles available. 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 Investigation and Enforcement teams are focused on the investigation of breaches of the legislation ASIC administers and subsequent enforcement action.


As Senior Executive Leader, Investigation and Enforcement 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.
  • Oversee a caseload of enforcement matters, providing strategic leadership to drive appropriate enforcement strategies and implement change and improvement that accelerates enforcement outcomes.
  • As part of the Enforcement and Compliance Group leadership team, provide thought leadership and work in collaboration across ASIC to identify appropriate regulatory strategies to influence behaviour of the regulated population.
  • Lead an enforcement team of approximately 50 people to their full potential.
  • 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 as required.
  • Represent the group at Commission Enforcement Committee meetings and support the presentation of papers by teams.


About you

You will have extensive experience at a senior level in the investigation, prosecution or defence of complex enforcement actions in a regulatory environment. Experience leading large teams, managing complex compliance and regulatory issues in an evolving environment. Extensive strategic and analytical skills applied at a senior level. Experience applying technical regulatory understanding and knowledge practically and strategically. Tertiary qualifications in relevant discipline or relevant experience.


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.

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