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Unique Opportunity for Finance Professionals

Posted on January 5th, 2015 by Sophie Gerber in AFSLs

We receive many requests for Responsible Managers to assist with ensuring successful applications by our clients for Australian Financial Services Licences (AFSL) and Australian Credit Licences.

Opportunities Available

If you are looking for a new opportunity which does not require you to work for someone else full time while you pursue other business interests or hobbies, whilst keeping in touch with the finance industry, this is the perfect role for you.

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

  • Fund Managers
  • Financial Planners
  • Retail Bankers
  • Investment
  • Brokers
  • Margin Forex / CFD Brokers

Payment

Payment is 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 you and the client we put you in touch with.  Fees generally range between $3,000 and $10,000 per month.  You can be a Responsible Manager on up to 3 AFSLs or ACLs. We do not take a commission or require any fee from you for this referral.

Requirements

To be an appropriate candidate as a Responsible Manager, 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; and
  • have two business references who can attest to your experience in a relevant role.

How to Apply

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

Your CV should include:

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

We will be in touch with you by phone or arrange an interview with you in person to discuss further.

Sophie Gerber

Sophie is the director of both Sophie Grace Legal Pty Ltd and Sophie Grace Pty Ltd. 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.