Sophie Grace Legal & Compliance
AFSL & ACL Specialists

Director (Legal and Compliance)

Areas: Sophie is the director of both Sophie Grace Legal Pty Ltd and Sophie Grace Pty Ltd. Common Tasks: Sophie meets with clients to help them understand their compliance and legal requirements. She works with them to tailor appropriate solutions for their business. Sophie also provides compliance training seminars to clients. Experience: Sophie has worked with some of Australia’s largest financial services organisations in compliance, legal and operational roles. She has also worked with small businesses to provide tailored solutions with a strong understanding of business practicalities as well as obligations to regulators. Education: Sophie has a Bachelor of Commerce and a Bachelor of Law from the University of Sydney, and has also spent a year studying finance at Boston University. Sophie is admitted as a solicitor in NSW.

Compliance Consultant

Areas: Sarah works with the Compliance Team with a particular focus on compliance and legal services. Sarah also works with the Legal Team providing ongoing assistance in drafting and reviewing documentation as well as legal research. Common Tasks: Sarah assists clients with AFSL and ACL applications, variations and also assists in the implementation of compliance reviews. She provides ongoing compliance support in the form of compliance program implementation and reviews. Experience: Prior to joining Sophie Grace, Sarah’s experience included customer service and office support roles. Education: Sarah has a Bachelor of Socio-Legal Studies from the University of Sydney.

Lawyer

Areas: Melody assists in preparing, reviewing and negotiating legal documentation for participants in the financial services industry. Melody also assists with developing, reviewing and amending compliance documentation. She also supports the Compliance Consultants with the preparation of AFSL and ACL applications, variations and compliance reviews. Common tasks: Melody provides ongoing legal support and also assists in implementing ongoing compliance support, updating procedural documentation and preparing compliance reporting for Compliance Committees and Boards of Directors. Experience: Prior to joining Sophie Grace, Melody worked as a paralegal. Education: Melody has a Bachelor of Actuarial Studies and a Bachelor of Laws from the Australian National University. She is admitted as a solicitor in NSW.

Manager (Licensing and Compliance)

Areas: Quynh Truong works with the Compliance Team with a focus on compliance. Common Tasks: Quynh specialises in obtaining ACL and AFSL applications and variations for clients as well as providing ongoing compliance support in the form of compliance program implementation and reviews. Experience: Prior to joining Sophie Grace, Quynh worked as a solicitor in the areas of compliance, banking and finance, debt recovery and commercial litigation. Education: Quynh has a Bachelor of Medical Science from the University of New South Wales, a Master of Law and Legal Practice from the University of Technology, Sydney and a Graduate Diploma in Corporate, Securities and Finance Law at the University of Sydney. She is admitted as a solicitor in NSW.

Manager (Licensing and Compliance)​

Areas: Alicia works with the Compliance Team and Legal Team with a focus on compliance and legal services. Common Tasks: Alicia assists clients with AFSL and ACL applications, variations and assists in the implementation of compliance reviews. She provides ongoing compliance support in the form of preparation of compliance reporting for Compliance Committees and Boards of Directors. Alicia also assists in the preparation of legal advice, commercial agreements and disclosure documents. Experience: Prior to joining Sophie Grace, Alicia worked as a paralegal. Education: Alicia has a Bachelor of Arts and a Bachelor of Law from the University of Wollongong. She is admitted as a solicitor in NSW.

Marketing and Administrative Assistant​

Areas: Ivana works with the Compliance Team and Legal Team with a particular focus on Marketing, PR and Office Management. Common Tasks: Ivana specialises in enhancing client relationships and supporting the Compliance and Legal Team. She assists clients with initial enquiries and ensures clients receive the latest regulatory updates through Sophie Grace social media channels, the monthly newsletter and the website blog page. She focuses on website development and management. Ivana also assists the Compliance Team and Legal Team in drafting documentation for clients. Experience: Prior to joining Sophie Grace, Ivana’s experience included customer service and office administration roles. Education: Ivana has a Bachelor of Commerce from Macquarie University.