ASIC senior executives - biographies

Complete list of ASIC senior executives

Organisational chart

Commission specialist teams

Chris Savundra:

Chief Legal Officer. Chris Savundra is the Chief Legal Officer of the Australian Securities and Investments Commission. ASIC's Chief Legal Office is the primary source of legal advice to the Commission. Amongst other things, the Chief Legal Office provides guidance and oversight in respect of major cases being conducted by ASIC and advises on complex regulatory matters.  

Chris has worked with ASIC for more than 10 years and in this time has been an Enforcement Senior Executive Leader and a Litigation Counsel. He led ASIC's Markets Enforcement team between March 2010 and February 2017 and was responsible for the carriage of a number of ASIC's major market misconduct investigations and litigation. Prior to joining ASIC, Chris worked in the litigation group of Allens Arthur Robinson and Herbert Smith in London. Chris has law degrees from the University of Oxford and the University of Western Australia. He also holds a Bachelor of Commerce.

Matthew Abbott:

Senior Executive Leader - Corporate Affairs. Matthew is head of function and responsible for media, government relations, internal communications, publications and the internet. Before joining ASIC in 2010, Matthew was a director of a public affairs consultancy, held a senior corporate affairs role with global shopping centre company, the Westfield Group, been an adviser to Joe Hockey in the Howard Government and worked for several NSW Liberal leaders. He has also worked as a financial journalist in the United Kingdom and started his career as a staff reporter with the Australian Financial Review. Matthew has a Bachelor of Commerce (UNSW) and a Master of Public Affairs (Sydney University). He also lectures on media and political campaigning in a masters program at Sydney University.

Helen O'Loughlin:

Senior Executive Leader - People & Development. Helen O'Loughlin is ASIC's Senior Executive Leader, People & Development. Before joining ASIC in 2011, Helen worked for the Westpac Banking Corporation as Head of HR for Regional Banking. During her time at Westpac she also led the Talent, Recruitment, Workforce Planning and Learning functions for the organisation. In 2008 and 2009 she managed the People Integration stream of the St George and Westpac merger. Helen has also worked at Commonwealth Bank and the NSW public service. She is a graduate of the University of Adelaide and Flinders University in South Australia.

Clare Lewis:

Senior Executive Leader - Internal Audit & Operational Risk. Clare joined ASIC in 2014 and is ASIC's Senior Executive Leader - Internal Audit & Operational Risk. Clare is a Fellow of the Institute of Chartered Accountants in England and Wales and a graduate of the Australian Institute of Company Directors. Clare has over 25 years' experience in senior leadership roles covering internal audit, operational risk management, compliance and accounting. Before ASIC, she held roles within Macquarie Group in the US and Australia and American Express in the UK and Australia.

Strategy Group

Greg Kirk:

Senior Executive Leader - Strategy Group. Previously Senior Executive Leader of ASIC's Deposit Takers, Credit and Insurance Team. Greg has a background working on consumer protection, credit, banking and insurance issues for a private sector firm and in the community legal sector. He joined ASIC in 2001 and has been closely involved as consumer protection in retail financial services has become a central part of ASIC's work. He led the implementation of the national credit laws at ASIC and more recently has led ASIC's input on important public reviews including the Murray Financial System Inquiry. He is currently focused on ASIC's input on the reform program coming out of Murray and other reviews.

Andrew Fawcett:

Senior Executive Leader - Strategic Policy. Andrew was previously a Special Counsel in ASIC's Chief Legal Office and has held senior positions in the Investment Banks and Strategic Policy teams. Andrew has been closely involved in projects such as the Future of Financial Advice reforms, the short selling ban and licensing of credit rating agencies. Prior to joining ASIC, Andrew worked on electricity reform for the Victorian Department of Treasury and in a national law firm.

Mark Adams:

Senior Executive Leader - Strategic Intelligence. Recently returned to ASIC from secondments as Principal Adviser, Financial System Inquiry Secretariat and Director, Strategy, Research and Risk, Ontario Securities Commission. Mark has held a range of senior executive positions at ASIC including lead of ASIC's competition in equity markets project and the Exchange Market Operators, Regulatory Policy and International teams. Prior to joining ASIC, Mark worked in the corporate and superannuation areas of a national law firm. Mark is also coordinating ASIC's Innovation Hub.

Ged Fitzpatrick:

Senior Executive Leader - International Strategy. Ged was previously Senior Executive Leader for Investment Managers and Superannuation where he was responsible for the regulation of fund management, custodial services and the non-prudential aspects of superannuation funds. Previous to that he was Senior Executive Leader for Credit, where he was responsible for market intermediaries and non-bank lenders operating under the credit legislation.

Prior to joining ASIC he was General Manager, Policy & Government Relations with the Financial Planning Association of Australia, dealing with a range of issues including superannuation, investment, credit and margin lending. He is a former Secretary General of the Institutional Money Market Funds Association and International Policy Adviser for the Investment Management Association in London. Ged's previous regulatory roles included markets and international responsibilities at the UK FSA (precursor to the FCA) and international economic analysis at the Bank of England.

Laura Higgins:

Senior Executive Leader - Financial Capability. Laura leads ASIC's Financial Capability team responsible for Australia's National Financial Literacy Strategy and ASIC's MoneySmart website providing guidance for consumers and investors. Laura also oversees ASIC's MoneySmart Teaching program, a national program designed to build financial capability in educators and young Australians.

Laura has 25 years' experience across education, strategic policy and program management. Prior to joining ASIC Laura was a Senior Adviser in the Department of the Prime Minister and Cabinet and in the Department of Education and Training, and was Education Manager - Europe (2009-2012) at the Australian Embassy in Brussels. Laura began her career as a teacher and has a Bachelor of Education (Queen's University) and an Honours Bachelor of Arts (University of Waterloo).

Investors and financial consumers

Jane Eccleston:

Senior Executive Leader, Investment Managers and Superannuation. Previously, Jane was the Senior Executive Leader, Corporations for which involved responsibility for operational and project based work relating to corporations including mergers and acquisitions, public fundraising, corporate governance and disclosure.

Jane has also worked as Assistant Director in the ASIC team responsible for supervising ASX and other licensed financial markets. Before joining ASIC, Jane was a Senior Associate with Mallesons Stephen Jaques and worked as in-house counsel for Westpac. Jane holds a Bachelor of Laws (Hons) and a Bachelor of Arts (Hons) from the University of Sydney.

Industry funding sector:

  • Investment management, superannuation and related services: Superannuation trustees, responsible entities, wholesale trustees, operators of an investor directed portfolio service, custodians, managed discretionary account (MDA) operators

Joanna Bird:

Senior Executive Leader - Financial Advisers. Joanna Bird is the Senior Executive Leader of the Financial Advisers team, a position she shares with Louise Macaulay. The Financial Advisers team is responsible for the regulation of the financial advice industry.

Previously, Joanna was an Associate Professor at the Sydney Law School at the University of Sydney, teaching and researching in the area of financial services regulation and regulatory theory and practice. She has also worked in ASIC's strategic policy area, and as a solicitor in private legal practice.

She has a Bachelor of Arts and a Bachelor of Laws (First Class Honours and University Medal) from the University of Sydney and a Bachelor of Civil Law from the University of Oxford.

Industry funding sector:

  • Financial advice: AFS licensees with an authorisation to provide financial product advice to retail or wholesale clients

Louise Macaulay:

Senior Executive Leader - Financial Advisers. Louise Macaulay is the Senior Executive Leader of the Financial Advisers team, a position she shares with Joanna Bird.The Financial Advisers team is responsible for the regulation of the financial advice industry.

Previously Louise was ASIC's Commission Counsel. Prior to that she led ASIC's enforcement policy, practice and law reform agenda. Before joining ASIC, Louise was a Senior Associate at Allens. Louise holds a Master of Laws from the University of Sydney, and a Bachelor of Laws and a Bachelor of Arts (Hons) from ANU.

Industry funding sector:

  • Financial advice: AFS licensees with an authorisation to provide financial product advice to retail or wholesale clients

Michael Saadat:

Senior Executive Leader - Deposit Takers, Credit & Insurers. Michael leads the team responsible for oversight of consumer banking, insurance companies, credit providers, mortgage brokers and other credit intermediaries, trustee companies in their traditional activities, non-cash payment facility providers, and ASIC's Indigenous Outreach Program. Michael is also ASIC's Regional Commissioner for New South Wales.

Prior to this, Michael worked as Director and Head of Compliance for Citigroup's Consumer Bank in Australia. He has also previously worked at ASIC as a senior lawyer and senior manager, and as a consultant at PricewaterhouseCoopers in London and Sydney. Michael has Bachelor of Economics and Bachelor of Laws (Hons) from Macquarie University, a Master of Laws from the London School of Economics, and an Executive MBA from Melbourne Business School.

Industry funding sectors:

  • Deposit taking and credit: credit providers, small amount credit providers, credit intermediaries, deposit product providers, payment product providers, margin lenders
  • Investment management, superannuation and related services: traditional trustees company service providers
  • Insurance: insurance product providers, insurance product distributors, risk management product providers

Warren Day:

Victorian Regional Commissioner and Senior Executive Leader, Assessment & Intelligence. As well as being Regional Commissioner for Victoria Warren is Senior Executive leader for ASIC's Assessment & Intelligence group, which includes ASIC's Misconduct & Breach Reporting, Licensing, Criminal Intelligence and International Cooperation Requests teams. Warren formed and leads ASIC's Office of the Whistleblower (since February 2014) and ASIC's Office of Small Business (since February 2017).

Warren joined ASIC in 2003 as a senior lawyer in enforcement and from 2007, was the Specialist Director, Investor and Consumer Protection. Warren has led investigations about consumer protection, credit and unlicensed conduct and illegal schemes. He was appointed Regional Commissioner for Victoria in October 2008. Before joining ASIC, Warren worked as a solicitor at Clayton Utz and as an auditor and analyst at the Australian Taxation Office.

Markets

Oliver Harvey:

Senior Executive Leader - Market Infrastructure. Oliver leads ASIC's Financial Market Infrastructure team, which has primary responsibility for oversight of financial market operators, clearing & settlement facilities and trade repositories. Prior to joining ASIC, Oliver worked with McKinsey & Company in their New York Office, in the Global Corporate & Institutional Banking Practice. In that role, Oliver served a number of clients, including large exchanges, investment banks and professional services firms. Oliver is a qualified lawyer and commenced his career with a major international law firm.

Industry funding sector:

  • Market infrastructure and market intermediaries: large securities exchange operators, large futures exchange operators, small securities exchange operators, small futures exchange operators, small securities exchange operators, small derivatives market operators, overseas market operators, Australian derivative trade repository operators, exempt market operators, credit rating agencies, market infrastructure providers

Greg Yanco:

Senior Executive Leader - Market Supervision. Former Chief Executive Officer, AXE ECN Pty Limited and former Manager Institutional and Wholesale Markets, during his career at the Australian Stock Exchange (1986-2006). Greg has extensive experience and knowledge in financial market development, regulation and supervision. At the ASX, Greg implemented equity market structure changes and managed the operations of the market surveillance and investigations units.

Industry funding sector:

  • Market infrastructure and market intermediaries: large securities exchange participants, large futures exchange participants, securities dealers, investment banks (corporate advisers, OTC traders), retail OTC derivative issuers, wholesale electricity dealers

Doug Niven:

Senior Executive Leader - Accountants and Auditors. Doug joined the ASIC as Deputy Chief Accountant in 1998. He oversaw the development of ASIC's financial reporting and audit policy, and the financial reporting surveillance program. Doug previously worked at Deloitte Touche Tohmatsu where he managed audits of companies in the financial services sector.

Industry funding sector:

  • Corporate: auditors of disclosing entities, registered company auditors

Claire LaBouchardiere (Acting), Rachel Howitt (Acting):

Senior Executive Leader - Corporations. In this shared role, Claire and Rachel are responsible for the regulation of corporations, including mergers and acquisitions, schemes of arrangement, fundraisings, continuous disclosure, corporate governance and financial reporting. Prior to joining ASIC, Claire was a solicitor with Gilbert + Tobin, working in their mergers & acquisitions area. Claire holds a Master of Laws from the University of Sydney, and a Bachelor of Laws and a Bachelor of Commerce from the University of Sydney. Rachel previously held roles at PriceWaterhouseCoopers Legal and Deloitte in Sydney and London. Rachel has a Bachelor of Laws and Bachelor of Economics from Macquarie University.

Industry funding sector:

  • Corporate: listed corporations, unlisted public companies, large proprietary limited companies

Thea Eszenyi:

Senior Executive Leader - Insolvency Practitioners. Thea joined ASIC in September 2017 and is Senior Executive Leader - Insolvency Practitioners. Thea has over 30 years' experience in insolvency and restructuring including senior positions in a multi-disciplinary accounting practice and a specialist insolvency and restructuring firm, where she gained experience across international, national and SME markets.

Thea is a registered liquidator, a Fellow of Chartered Accountants Australia & New Zealand (and past Regional Councillor and Chairperson for SA & NT), a member of Australian Restructuring, Insolvency and Turnaround Association (and past workshop leader), and past Deputy Member of the South Australian Legal Practitioners Conduct Board.

Industry funding sector:

  • Corporate: registered liquidators

Enforcement

Sharon Concisom:

Senior Executive Leader - Market Enforcement. Sharon is responsible for the ASIC Markets Enforcement team. Sharon is responsible for the carriage of a number ASIC's significant market misconduct investigations and litigation. Sharon has significant regulatory experience working in financial markets, including in the Asian market. Prior to joining ASIC, Sharon was Legal Counsel at the Australian Securities Exchange. She has also held senior positions at the Malaysian Bourse.

Tim Mullaly:

Senior Executive Leader - Financial Services Enforcement. Former Director, Licensed Enforcement, ASIC. Former Assistant Director (Vic & Tas) Enforcement, ASIC.Tim is responsible for the leadership, management and strategic direction of ASIC’s complex and publicly sensitive enforcement projects in relation to licensed entities. Tim has also led teams comprising 80 staff in delivering high-quality and responsive enforcement results. Tim has also worked as a Senior Accountant in private practice.

David McGuinness:

Senior Executive - Financial Services Enforcement. Former Director, NSW and ACT Enforcement, ASIC. In this role David had site and operational management of the staff and enforcement investigations undertaken by ASIC in Sydney and Canberra. Prior to joining ASIC, David was a senior partner of Blake Dawson Waldron in its Litigation & Dispute Resolution practice and held a number of leadership positions in that firm.

Natalie Dürr:

Senior Executive Leader Criminal Intelligence Unit, Senior Executive - Enforcement WA. After commencing her career as a corporate lawyer with Clayton Utz in Perth, Natalie Dürr has now worked as a senior lawyer in a regulatory environment for over 20 years. While with the Melbourne office of ASIC from 1998 to 2003, Natalie led an investigation into the collapse of the Lateral Trading futures trading fund, leading to the jailing of all 3 former directors.

In the early 2000s, she was instructing solicitor for ASIC's successful civil penalty proceedings against the 3 directors of the Water Wheel rice-milling companies for insolvent trading. After 10 years with the WA Department of Commerce, including 4 years as General Counsel of its Consumer Protection Division, Natalie returned to ASIC, taking up the role of Senior Executive - Enforcement WA in December 2013. In that role she has responsibility for ASIC's enforcement activities within that State, covering the Financial Services, Market Integrity and Corporate Governance areas.

Natalie was appointed Regional Commissioner of ASIC's WA office and Senior Executive Leader, Criminal Intelligence, in July 2017.

George Stogdale:

Senior Executive - Corporations and Corporate Governance. Former Senior Partner, Middleton Commercial Litigation Group. Team leader – commercial dispute, professional indemnity and media practice. George has broad experience in commercial law, including risk management, disputes, mediation, court proceedings and compliance. During four years as a board member at Middletons, George was intimately involved in assessing merger/takeover proposals when the firm merged with KPMG Solicitor Corporation and Acuiti Legal in NSW.

Registry and licensing

Rosanne Bell:

Senior Executive Leader - Registry. Former Director, Public Information Program, ASIC. In this role, Rosanne’s responsibilities have included: administration of Australia’s public registers of companies and professionals, including information lodgment and searching functions; responding to enquiries through ASIC’s national call centre and the provision of on-line and over the counter services. In 2003, Rosanne led ASIC’s implementation of Government policy reforms known as CLERP 7 to simplify compliance and lodgement obligations of small businesses interacting with ASIC.

Operations

Carlos Iglesias:

Chief of Operations. Former Executive Director, Finance, ASIC. Carlos is responsible for funding, budget management, capital adequacy and management as well as financial and management accounting matters. He is also responsible for knowledge management. Before joining ASIC in 1992, he worked at the Australian Taxation Office, CPA Australia and Deloittes in a range of management, accounting and consulting roles.

Jo Harper:

Chief Information Officer. Jo Harper was appointed ASIC's Chief Information Officer in July 2017. Before this, Jo was ASIC's IT Program Director where she had responsibility for delivering ASIC's IT program and project portfolio. Before joining ASIC in 2013, Jo worked in the IT industry for over 30 years in different roles. She has an interest in the delivery of projects, programs and benefits and has sat on the international examinations board for the MSP, PRINCE2, P3O and Managing Benefits qualifications.

Emily Hodgson:

Chief Financial Officer. Emily Hodgson has been ASIC's Chief Financial Officer for the past five years where she has lead the organisation's work on preparing ASIC to implement an industry funding model. She has also driven ASIC's work in securing from Government funding for New Policy Proposals. Emily started at ASIC in 2002 and since then has held a number of senior executive roles, including corporate services and leading ASIC's response to the Government's Funding Review.

Emily also spent six years in enforcement as joint lead of the NSW Enforcement Directorate. She is orginally an auditor with leading accounting firm KPMG and PWC and has a Bachelor of Commerce with a major in accounting, from the University of Newcastle.

Amanda Dixon:

Senior Executive Leader - Corporate Services. Amanda leads the Corporate Services team and has responsibility for security, property and facilities management, travel, intelligence, research and records management.

Key projects for the Corporate Services team are positioning the organisation for the future in terms of our digital working strategy and our new ways of working in an activity based working environment. Prior to moving to this role Amanda was a Senior Executive in our Human Resources team. She has experience in a number of senior roles in other government agencies before ASIC in human resources and industrial relations including the Public Service Commission.

John Wallace:

Senior Executive Leader - Specialist Service & Chief Data Officer. John Wallace is responsible for establishing and leading ASIC's Chief Data Office. He also heads a national team providing specialist forensic accounting, computer forensics, evidence management, knowledge management and business reporting - all of which are key to ASIC's regulatory functions. His previous role in ASIC was Assistant Director, Enforcement overseeing investigation teams in the Melbourne and Hobart offices. John holds an MBA and has an extensive background within law enforcement and the health sector. Before ASIC, John had senior executive roles in Victoria Police in corporate services and forensics.

Regional commissioners

John Weaver:

Regional Commissioner, Queensland. John Weaver has been ASIC Queensland Regional Commissioner since June 2016. John joined ASIC in 2012 and is now a Senior Manager for ASIC’s Financial Advisers - Wealth Management team in Brisbane. Before that he was a Senior Manager in Corporate and Corporate Governance Enforcement.

Before ASIC John was a partner with Russell-Cooke Solicitors LLP in London specialising in commercial and regulatory litigation and Technical Specialist in the Enforcement and Financial Crime Division at the UK's Financial Services Authority in London. John has a Bachelor of Laws from James Cook University and a MSc majoring in Fraud and Risk Management from Nottingham Business School. John is an admitted solicitor in Queensland and England & Wales.

Sea also:

  • Victorian Regional Commissioner, Warren Day,
  • New South Wales Regional Commissioner, Michael Saadat
  • Tasmanian Regional Commissioner, Chris Green
  • Western Australian Regional Commissioner, Natalie Dürr
  • South Australian Regional Commissioner, Melissa Smith
  • Australian Capital Territory Regional Commissioner, Christian Mikula
  • Northern Territory Regional Commissioner, Duncan Poulson
Last updated: 10/04/2018 10:15