ARTICLE
31 March 2025

Unique Opportunity for Finance Professionals

SG
Sophie Grace Pty Ltd

Contributor

Sophie Grace is a leading Australian firm specialising in both compliance and legal services to participants within the financial services and credit industries. We have serviced Australian and international clients across the financial sector for over a decade. From obtaining the required licences to operate your business to the provision of ongoing compliance support, many businesses have benefited from Sophie Grace’s extensive knowledge in the financial and credit space. We take pride in our ability to offer tailored solutions to a broad range of businesses whilst keeping business practicalities and obligations to regulators at the forefront of our minds when delivering services and advice. Our consultancy services can equip you with assistance and clarity in your business endeavours.
Responsible Manager to support and ensure a successful Australian Financial Services Licence application or variation.
Australia Employment and HR

We regularly receive requests from our clients for assistance in sourcing an appropriate Responsible Manager to support and ensure a successful Australian Financial Services Licence application or variation.

Opportunities available

We are looking for people who have worked in Australia for:

  • Payments & FX specialists;
  • Fund Managers;
  • Financial Planners;
  • Retail Bankers;
  • Investment firms; and
  • Brokers.

The role of a Responsible Manager is a good fit for professionals who are looking for work which may not require a full time load, but allows them to keep in touch with the industry whilst pursuing other business interests or hobbies.

Remuneration

Payment is typically a monthly fee which varies depending on the type of AFSL (i.e. the extent of the authorisations required and the current demand for your experience) and is negotiated between yourself and the client we put you in touch with.

Requirements

To be an appropriate candidate, you must:

  • have been working for a company in a middle to senior role that holds an AFSL for the past 3 years out of the last 5 years as a minimum;
  • have relevant educational requirements i.e. Bachelor's degree in Commerce, Business, Economics etc. or a short industry course specifically relevant to the financial services industry or products or Diploma (or higher) that is relevant to the financial services industry or products;
  • be RG146 compliant, for all authorisations (retail only);
  • have a clean criminal record (driving infringements excluded) and no previous bankruptcies;
  • be a fit and proper person to provide financial services;
  • have two business references who can attest to your experience in a relevant role; and
  • demonstrate that you are not associated with more than one other AFSL.

How to Apply

Please send a copy of your CV to enquiries@sophiegrace.com.au.

Your CV should include:

  • your full name, contact email and phone number;
  • the details of the current AFSL you are working for and your day-to-day responsibilities;
  • employment history, including any relevant AFSL details and a description of the activities undertaken in each role;
  • a full list of relevant qualifications;
  • details of any other AFSLs or ACLs on which you are current Responsible Manager (if any).

Once received we will be in touch with you to discuss further. If you have any questions regarding Responsible Managers please contact us.

Further reading

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

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