Description:
- Make a difference supervising a range of complex products accessible to retail investors
- Be part of initiatives which reduce consumer harm
- Temporary 12-month opportunity
- Competitive salary $90,749 - $107,911 plus 15.4% superannuation
- Sydney or Melbourne based
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
As part of ASIC's Markets Group, Market Supervision seeks to ensure trust and confidence in Australia's financial markets by regulating market intermediaries (including market participants, investment banks, securities dealers and issuers of over the counter (OTC) products). We also carry out surveillances of Australia's listed and OTC markets and test our stakeholder's compliance with the law.
The Retail Complex Products and Investor Protection (RCPIP) team has responsibility for monitoring and supervising a range of complex products accessible to retail investors, including retail OTC derivatives and other products that have the potential to result in consumer harm. The team does this by supervising the conduct of retail complex product intermediaries and issuers through proactive reviews and the assessment and analysis of suspected misconduct. The team is also responsible for retail investor related scams and investor protection strategies, and for monitoring the Product Intervention Orders for contracts for difference and binary options.
The key duties of the position include
The role
As an Lawyer or Analyst , you will report to the Senior Manager and:
- conduct intelligence gathering, surveillance and project work to ensure identification of risks and compliance with the law, including onsite surveillances and desk-based reviews.
- develop and maintain supervisory relationships with intermediaries and issuers, and other industry and internal stakeholders.
- provide analysis, evaluation and guidance on technical and policy issues relating to retail markets and compliance with regulatory requirements, emerging issues, trends and risks.
- assist in the preparation of detailed reports, papers and submissions on a broad range of policy and technical issues.
- participate in multi-skilled project teams including actively sharing knowledge with other team members where appropriate.
- undertake research and provide internal advice on regulatory issues.
17 Apr 2024;
from:
adzuna.com.au