JOB DESCRIPTION

Role title Compliance Administrator

Reporting structure Direct report of the Head of Risk & Compliance, Jersey.

Liaison with Partners, fee earners, support staff and compliance teams in other Carey Olsen offices.

Location Jersey

Role purpose The principal purpose of this role is to have responsibility for the administration of the client onboarding process including obtaining relevant customer due diligence documentation

Principal duties Client take-on

• Collation of relevant documentation to verify the identity of clients of Carey Olsen • Undertaking searches of relevant databases • Undertaking open and closed source searches • Obtaining clarification from Partners and fee earners in relation to the scope • of particular matters and advising on CDD documentation required • Liaison with clients in relation to CDD documentation requirements • Preparation of due diligence profile forms for submission to Matter Partners and

MLRO where applicable • Maintenance of statistical records

Experience • Ideally 2+ years' experience in a compliance/anti money laundering role • Good working knowledge of AML legislation

Professional qualifications

• Compliance qualifica on issued by the ICA or equivalent desirable but not essen al

Personal characteristics

• Able to work with minimal supervision and to tight deadlines • Accuracy • Flexible, "can do" attitude; and • Good analytical skills

Conditions of work • 37.5 hours per week with 60 minutes per day for lunch

Benefits • 25 days holiday entitlement with the ability to buy or sell up to 5 days per financial year

• Discretionary bonus scheme • Private health care from day one with previous conditions disregarded. There is

the ability to add dependants at employee's own cost • Life assurance x4 annual salary • Permanent health insurance

JOB DESCRIPTION

JOB TITLE Senior Analyst, Compliance (6-month FTC)

JOB LEVEL C1

DEPARTMENT Compliance

REPORTING TO Associate Director – Compliance / Head of Compliance

JURISDICTION Jersey

OAK SUMMARY Oak offers innovative private client, corporate and fund administration services tailored to our clients' needs. Today, Oak operates across Guernsey, Jersey, Isle of Man, Mauritius and The Bahamas with more than 250 employees administering over $24 billion in assets. The group is known for its client-centric approach, commitment to excellence and forward-thinking vision. Oak is owned by Opera Limited, a new holding company backed by Pula, the family office of Stephen Lansdown, co-founder of Hargreaves Lansdown, along with like-minded shareholders such as Sealyham, the family office of Tom Scott. Opera has welcomed Accuro (pending regulatory approval), Amber (now Oak Bahamas), HFL, Meritus and Oak into the fold, each one powered by Opera, each one contributing to our shared ambition. For more information, please visit: https://www.operalimited.com/ JOB SUMMARY The role involves assisting in all areas of the Compliance function, however, primary focus will be to support the senior compliance members fulfil their roles whilst they provide Key Person positions to Oak and fully regulated and / or AML supervised entities. Additional activities will include providing general compliance support and assisting with the onboarding of potential new business from both existing and new customers of Oak. KEY RESPONSIBILITIES Compliance – General Tasks

• Assist the Compliance Manager with the completion of the daily compliance task list, including but not limited to the checking and escalation of daily screening results, review and follow up of material changes to entity or customer profiles and risk ratings;

• Compliance Register reviews and updates / liaise with appropriate staff; • Review and processing of CDD and ECDD received for customers and fund investors; • Checking completed periodic client reviews and raising appropriate follow up tasks, as necessary; • Carry out screening, using proprietary databases, internet searches and sanctions checks as part of

the new business take on process and at trigger events; • Ad-hoc attendance at Risk & Compliance Committee meetings, including the drafting of meeting

minutes, as required;

JOB DESCRIPTION

• Assist in the preparation of financial crime prevention in-house training material; • Assist with the preparation of responses to banking, legal and overseas agent due diligence Reliance

testing; • Provide general assistance to the Compliance Team; • Ongoing review and maintenance of the Policies and Procedures Manual • Providing guidance to client administration teams in relation to policies and procedures (e.g.

acceptable forms of CDD/ECDD, certification requirements etc) Compliance – Key Person Support

• Provide assistance to senior Compliance Team members providing Compliance Officer, Money Laundering Compliance Officer and Money Laundering Reporting Officer roles to Oak Group (Jersey) Limited and regulated client entities, including Managed Trust Companies and Managed Fund Entities;

• Assist with the compilation of quarterly, bi-annual, and annual Compliance Reports, including the preparation of Compliance Registers and associated statistics for presentation to the Boards and/or Governing Bodies;

• Assist with completion of Compliance Monitoring Programme testing; • Assist with the review and maintenance of Operational and AML/CFT/CPF Business Risk

Assessments; • Assist with the completion of regulatory reviews relating to adequate insurance coverage, handling

of customer money, compliance risk and board self-assessments; • Assist with the collation and provision of annual audit deliverables; • Assist with annual and ad-hoc regulatory data collection exercises; • Provide support prior to and during regulatory examinations or assessment visits;

General Expectations

• Comply with Oak’s internal policies and procedures as may be amended from time to time; • Ensure compliance with Oak’s professional conduct, quality and ethical standards; • Completing and inputting time in the time billing system on a daily basis; • Completing any other duties as may be required from time to time in accordance with the

requirements of the role, team and evolving nature of the function; • In all aspects of your role, display and adhere to our vision and values of Client Focus, Excellence in

Execution, Integrity, Innovation, Value, Development and Leadership. KEY COMPETENCIES & SKILLS

• Preferably minimum of 3 years Compliance experience; (Consideration will be given to strong candidates with relevant experience in the Finance Industry, Trust Company/Funds Business areas)

• Currently studying towards, or desire to undertake, Professional Study with a relevant professional body e.g. ICA;

• Preferably hold or near completion of a JFSC Table 5 qualification;

• Good IT skills, including practical experience of Microsoft Outlook, Word and Excel;

• Good knowledge of client databases i.e. ViewPoint would be useful, but not mandatory;

• Good understanding of corporate and trust structures;

• Good understanding of AML/CFT/CPF regulatory framework;

JOB DESCRIPTION

Employee Signature:_____________________________________ Date:_____________________ Employee Name:________________________________________

• Good time management, prioritisation and organisational skills KEY BUSINESS PARTNERS

• Compliance Team

• Client Accounting Team

• Private Client Team

• Corporate & Funds Team

• Board of Directors

• Oak Group Offices

• Banking partners

• Investment establishments

JOB DESCRIPTION

JOB TITLE Group Company Secretary JOB LEVEL TBC

DEPARTMENT Group

REPORTING TO Group CEO

JURISDICTION Guernsey

OPERA SUMMARY Opera Group is a leading provider of Fund Administration, Private Client and Corporate Services. The Group is headquartered in Guernsey and has offices in Jersey, Mauritius, Bahamas, Bermuda and the Isle of Man. Our clients range across high-net-worth individuals, families, corporate institutions and asset managers. Opera employs over 330 people, the majority of whom are qualified as accountants, corporate secretaires, and fiduciary professionals. We prioritise continuous growth and development of our people, recognising that their success is the foundation of excellent client service and business growth. Opera has a new ownership structure and is owned by a standalone company, Opera Limited. The majority shareholder is Pula, Stephen Lansdown’s family office. Opera is privately owned with a fully-aligned strategy for growth and transformation. Our vision is long-term and extensive and will allow us to plot a strategic arc. Our holistic strategy includes investing into cutting-edge technology and data management tools, investing into back-office simplification to improve client and employee experience, extensive training for our team, and continually enhancing our employee value proposition all to align staff and shareholder interest and fuel a constant drive for sustainable excellence and growth. Opera is committed to this exciting journey. JOB SUMMARY The Group Company Secretary will be responsible for the governance framework and company secretarial matters for the Group (covering various jurisdictions). This role will ensure that the company adheres to regulatory and statutory requirements, maintains high standards of corporate governance, and provides effective support to the Board of Directors, senior management, and other stakeholders. The role involves managing Board operations for Opera and its committees and forums, shareholder communication, legal compliance, and regulatory reporting for the group’s activities and oversight of the licensees within the group FORMAL POSITIONS

Group Company Secretary Opera Limited Company Secretary Opera Group Limited Company Secretary Authorised Signatory as required

KEY RESPONSIBILITES The post holder will be responsible for the following alongside accepted corporate secretarial tasks: Governance & Compliance

Advise the Board, Board Committees, and senior executives on corporate governance best practices, legal and regulatory requirements, and fiduciary duties.

JOB DESCRIPTION

Working with the Group Head of Risk and Compliance, ensure that the companies complies with all

relevant regulations, including financial services laws and corporate law. Monitor changes in relevant statues, industry governance standards and best practices, and

proactively recommend necessary changes to the organization’s practices and policies. Maintain Authorised Signatory List. Maintain/provide CDD of the Group. Maintain/provide structure charts as required. Oversee/ maintain statutory registers of the Group Guernsey Companies . Assist with the record management of the Group’s employee long-term incentive plan. Oversee/ undertake statutory filings of the Group Guernsey Companies .

Board & Committee Support

Maintain corporate calendar of events of the Group and operating Companies. Provide comprehensive governance support for the Group and operating Companies’ Boards and

Committee meetings, including the preparation of logistics, distribution of materials, agendas, minutes, and action points.

Draft, monitor, prompt, update action points from prior board meetings/committee meetings. Ensure the smooth flow of information between the Board, Committees, and senior management. Advise on the composition of the Board, director appointments, and succession planning. Draft Company secretary reports for the Board.

Special Projects

Lead or support the company on corporate transactions such as mergers, acquisitions, restructuring, or fundraising, ensuring compliance with all legal and governance standards.

Assist in the development and implementation of corporate policies and procedures, ensuring these align with regulatory expectations and best practices.

Corporate Reporting

Responsibility for all statutory submissions regarding any Guernsey Group companies and oversight of statutory filing requirements in other jurisdictions for all other Opera companies.

Ensure the timely filing of statutory documents with relevant authorities, including Companies House, and maintain all corporate records (e.g., registers of directors, shareholders, and company resolutions).

Draft assessment of operating companies’ boards’ self-evaluation of performance. Draft/contribute to Board’s assessment of adherence to Corporate Governance Code where relevant.

Shareholder Relations

Manage relationships with shareholders, ensuring effective communication and transparency regarding the company’s performance, governance, and key initiatives.

Coordinate the organization and execution of the Annual General Meeting (AGM) and Extraordinary General Meetings (EGMs), ensuring that shareholder engagement is appropriately facilitated.

Legal and Regulatory Risk Management

Work closely with the legal and compliance teams to assess and manage legal risks, and ensure adherence to risk mitigation protocols.

Leadership & Stakeholder Management

Lead and manage the Company Secretarial function, ensuring provision of high-quality, efficient, and effective support across all aspects of corporate governance.

Support the executive leadership in strategic initiatives requiring corporate governance expertise. In all aspects of the role, display and adhere to our Opera 8 values. Contribute to the development of Director Induction programme.

JOB DESCRIPTION

Employee Signature:_____________________________________ Date:_____________________ Employee Name: ________________________________________

KEY COMPETENCIES & SKILLS

Relevant Qualification e.g. ICSA Chartered Governance Professional (CGP) or equivalent qualification. Minimum of 7 years’ experience in a relevant role within Financial Services. Strong knowledge of Company Secretarial practices and Guernsey Company Law, offshore funds and

relevant stock exchange rules (where applicable). Knowledge of Company Secretarial practices and Company law for other jurisdictions would be

advantageous. Understanding of the regulatory landscape in financial services. Strong understanding of corporate governance frameworks, statutory requirements, and corporate

law. Previous experience supporting Board and Committees at a senior level.

Personal Attributes

Excellent IT skills, including practical experience of Microsoft Outlook, Word and Excel. Excellent time management, prioritisation and organisational skills. Excellent written & verbal communication skills . Strategic thinker with a proactive, solutions-oriented approach. High ethical standards and integrity, with a strong understanding of corporate governance principles. Resilient and adaptable, with the ability to thrive in a fast-paced, evolving regulatory and working

environment. Strong interpersonal skills and the ability to manage relationships with internal and external

stakeholders effectively. KEY BUSINESS PARTNERS

Board of Directors Senior Management Team Operating Companies MDs

Job Specification

Head of Risk & Compliance – Trust & Funds (Jersey)

Role Purpose

The Head of Risk & Compliance – Trust & Funds is responsible for setting and delivering the Risk and

Compliance strategy for the combined Accuro–Oak Trust and Fund business following the merger.

The role holder will:

• Hold key regulatory appointments where required

• Act as senior risk and compliance leader for trust licence(s) and all fund structures

• Provide assurance to the Board, regulators and stakeholders that regulatory, conduct, financial

crime and operational risks are appropriately identified, mitigated and managed

• Lead a unified risk and compliance framework across jurisdictions, ensuring consistency,

proportionality and regulatory alignment

Key Accountabilities

Strategic Leadership

• Set the enterprise-wide Risk & Compliance strategy for the Trust and Fund businesses

post-merger, aligning Accuro and Oak frameworks, policies and risk appetites

• Support the integration of risk, compliance and governance frameworks for the Jersey business

• Advise the Jersey Board on emerging regulatory, conduct, financial crime and operational risks

impacting trust and fund services

• Ensure regulatory change is proactively monitored, interpreted and embedded across both

businesses

Regulatory Oversight & Key Person Responsibilities

• Hold senior regulatory roles as required (e.g. MLRO, MLCO, Compliance Officer, Risk Officer or

equivalent) for:

o Trust licences

o Fund services businesses

o Underlying fund structures where applicable

• Act as primary or senior contact for JFSC, FIU, auditors and other external stakeholders

• Ensure timely, accurate and transparent regulatory reporting and engagement

• Lead regulatory inspections, thematic reviews and remediation programmes

Risk Management

• Own and maintain the Risk Management Framework covering:

o Trust companies

o Fund administration and fund governance structures

• Identify, assess and manage:

o Regulatory and compliance risk

o AML/CFT and financial crime risk

o Conduct risk

o Operational and reputational risk

• Oversee risk assessments at entity, licence and product/fund levels

• Ensure effective incident management, breach reporting and escalation

Compliance Management

• Ensure robust compliance monitoring programmes are in place across trust and fund operations

• Oversee testing, monitoring and assurance activities, ensuring issues are tracked to resolution

• Ensure policies, procedures and controls meet applicable trust law, funds law and regulatory

standards across relevant jurisdictions

• Provide regular and ad-hoc compliance reporting to senior management, the Board and

Committees

Governance & Reporting

• Chair or provide senior leadership to the Jersey Risk & Compliance Committee

• Oversee Jersey governance, escalation and reporting frameworks

• Prepare and present risk and compliance reports to:

o Boards

o Board Committees

o Investment / Fiduciary Committees (where relevant)

• Ensure appropriate management information (MI) is produced for Trust and Fund activities

People Leadership & Culture

• Lead and develop the Jerey Trust & Funds Risk and Compliance team

• Ensure adequate resourcing, capability and succession planning

• Promote a strong risk-aware and compliance-led culture across the merged Jerey business

• Oversee training and Continuing Professional Development (CPD) programmes

Key Activities

• Act as MLRO, MLCO and/or Compliance Officer for trust and fund entities as required

• Manage regulatory relationships and inspections

• Lead post-merger harmonisation of risk and compliance frameworks

• Ensure timely completion of compliance monitoring plans and risk assessments

• Oversee breaches, SARs, regulatory notifications and remediation actions

• Deliver risk and compliance reporting to Committees and Boards

Skills & Competencies

• Strong leadership and people management capability

• Excellent stakeholder management and regulator-facing communication skills

• Strategic thinker with ability to operate at Board level

• Sound judgement and decision-making skills in complex regulatory environments

• Ability to operate across multiple jurisdictions, licences and structures

• Strong project and change management capability

Knowledge & Experience

• ICA Diploma (or equivalent), ACAMS or other relevant professional qualification

• Extensive experience leading Risk & Compliance within:

o Trust & fiduciary services and/or

o Fund administration / fund governance businesses

• Deep understanding of:

o Trust company regulation

o Fund structures (regulated and unregulated)

o AML/CFT frameworks

o Corporate and fiduciary governance

• Proven experience holding regulated roles and engaging with regulators

Measures of Success

• Successful regulatory oversight of all trust licences and fund structures

• Positive regulatory outcomes and inspection results

• Effective integration of Accuro and Oak risk & compliance frameworks

• Timely identification and mitigation of emerging risks

• High team engagement, capability and retention

• Delivery of risk and compliance initiatives on time and to standard

Reporting Line

• Reports to: Chief Executive Officer / Board (Trust & Funds)

• Works closely with: CI Head of Risk for Funds, Board Chairs, Executive Committee,

Investment/Fiduciary leadership, and Group Risk counterparts

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Job Description

Langham Hall Fund Management (Jersey) Limited, 3rd Floor Gaspe House, 66-72 Esplanade, St Helier, Jersey, JE1 2LH T: +44 (0) 1534 885200 E: info@langhamhall.com W: www.langhamhall.com Langham Hall Fund Management (Jersey) Limited is regulated by the Jersey Financial Services Commission.

Job Title: Senior Compliance Administrator

Reports To: Associate Director

Team: Compliance

Location: Jersey

Company Langham Hall provides premium quality accounting, fund administration and investor reporting services to Real Assets and Private Equity Fund clients. Langham Hall invests in people and in developing them professionally. We are extremely proud of our leadership-focused culture which fosters a dedicated, approachable and collaborative way of working. We offer the opportunity to progress your career and study professional qualifications, through intensive training and where applicable, full exam tuition and study support. Langham Hall is a fast-growing company and as such staff experience a variety of responsibilities and inclusion in exciting initiatives beyond their day-to-day role. Employees are supported and encouraged to deliver a first-class service, and opportunities are identified at an early stage for employees to engage with our clients which enables them feel involved and challenged in their work. We are proud of our positive working culture which is reinforced through our employees and our extremely low staff turnover, and we seek out people that believe in our values. Job Role Overview The main areas of responsibility for this role are to ensure a robust AML/CFT/CPF framework is adhered to for LHFMJ and its clients, in order to assist fee earners to meet their regulatory obligations and to assist with a broad range of compliance and risk management duties which focus on ensuring that LHFMJ AML /CFT regulatory obligations and risk management objectives are fulfilled. These areas of responsibility will include ensuring compliance with the applicable laws and regulations covering Fund Services Business and Trust Company Business under the Financial Services (Jersey) Law, 1998 and Jersey Certified Funds under the Collective Investment Funds (Jersey) Law, 1988 and related Codes of Practice as well

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Job Description

Langham Hall Fund Management (Jersey) Limited, 3rd Floor Gaspe House, 66-72 Esplanade, St Helier, Jersey, JE1 2LH T: +44 (0) 1534 885200 E: info@langhamhall.com W: www.langhamhall.com Langham Hall Fund Management (Jersey) Limited is regulated by the Jersey Financial Services Commission.

as applicable anti- money laundering and countering the financing of terrorism (AML/CFT) legislation covering inter-alia customer due diligence (CDD) requirements, data protection / confidentiality and LHFMJ's own compliance and risk management policies and procedures. In addition, the Senior Compliance Administrator will provide support to the Compliance Senior leadership by providing quality guidance to the business on compliance and AML/CFT related matters and acting as a role model and mentor to more junior members of the Compliance Team when necessary. Duties Regulatory:

 Responsible for ensuring all regulatory updates are recorded and communicated appropriately and in a timely manner. To include, where relevant, consideration for the impact such changes may have on the business. Lead on the production and amendment of relevant P&Ps that may require to be updated from time to time to ensure adherence to new regulatory updates and to ensure that the P&Ps are fit for purpose. Compliance Reporting:

 Manage the production of data in relation to updates of any relevant Codes of practice relating to Fund Service business, Trust and Company business and with specific relation to AML/CFT updates.

 Assist with the production of annual MLRO / MLCO reports for managed entities and certified funds or any ad-hoc reporting that maybe required from time to time in relation to the MLRO/MLCO roles for both clients and Langham Hall.

 Support the Compliance leadership in ensuring that all action points generated by the initial review, periodic review and monitoring process are actively monitored and closed/completed as necessary.

 Liaise with the Associate Director (Compliance) on a monthly basis providing statistics in relation to all action points generated / closed and completed by the initial review / periodic review and the compliance monitoring programme for distribution to management.

 Liaise with the Associate Director, (AML) and co-ordinate and ensure completion of the client initial review forms. Training:

3

Job Description

Langham Hall Fund Management (Jersey) Limited, 3rd Floor Gaspe House, 66-72 Esplanade, St Helier, Jersey, JE1 2LH T: +44 (0) 1534 885200 E: info@langhamhall.com W: www.langhamhall.com Langham Hall Fund Management (Jersey) Limited is regulated by the Jersey Financial Services Commission.

 Assist with the planning and delivery of AML/CFT/CPF induction training to new starters within time frames set in the businesses policies and procedures.

 Assist with the planning and delivery of AML/CFT/CPF refresher training to all staff in accordance with the time frames set in the businesses policies and procedures.

AML/CFT:

 Fully understand and stay up to date with requirements of AML/CFT regulations and guidance handbooks (Jersey) and those regulations applicable to LHFMJ and its clients.

 Lead the preparation of all new client files, including, but not limited to the review of new business take-on forms, the creation of client due diligence profiles and risk assessments.

 Work with the to resolve and find solutions to meet CDD requirements where difficult CDD cases arise, maintaining a commercial approach.

 Take responsibility for the upkeep of records for the CDD elements of new business files (hard and electronic copies).

 Be responsible for the production of the orange compliance files ensuring these are completed fully in a consistent manner.

 Assist the Compliance Officer and/or MLCO, MLRO to co-ordinate the preparation of the client Business Risk Assessments and Risk Mitigation Programs to include preparing and populating templates.

 Assist the Compliance leadership team with any AML monitoring visits from service providers.

 Assist the Compliance leadership team to complete the CDD review process for client entities and in scope investors.

General:

 Maintain, develop and improve the AML/CFT/CPF framework of LHFMJ.

 Assist with the completion of responses to regulatory enquiries including thematic reviews and satisfying the National Risk Assessment project requirements

 Work with the Associate Director, Compliance, Anti Money Laundering and the Compliance officer to ensure robust compliance? with the relevant Codes of Practice.

 Assist with the production and maintenance of management information and reports when requested

 Promote a strong culture of AML/CFT compliance to all staff.

4

Job Description

Langham Hall Fund Management (Jersey) Limited, 3rd Floor Gaspe House, 66-72 Esplanade, St Helier, Jersey, JE1 2LH T: +44 (0) 1534 885200 E: info@langhamhall.com W: www.langhamhall.com Langham Hall Fund Management (Jersey) Limited is regulated by the Jersey Financial Services Commission.

 Provide support to Langham Hall offices in other jurisdictions in respect of

AML/CFT/CPF related queries.

 Assist and provide advice to the Guernsey business in respect of all AML matters.

 Completion of the Guernsey client compliance monitoring programme, until such time as this can be transferred to the Guernsey team.

 In addition to the duties listed above, provision of assistance to the Associate Director, Compliance, Anti Money Laundering or wider compliance team may be requested to perform any other ad hoc duties or projects.

Other Responsibilities:

 Develop and maintain good relationships with other staff members

 Ensure all work is conducted in accordance with internal procedures

 Complete daily timesheets

 Maintain the highest standards of confidentiality and security in terms of client affairs and records

 Monitor performance against personal and developmental targets

 Identify areas where further training for staff would be beneficial and bring these to the attention of the directors, assist in the arrangement of training and compliance education.

 Maintain a record of Continuing Professional Development activity undertaken during each year

 Have an excellent understanding of anti-money laundering legislation and client due diligence requirements for a financial service business and its clients

 This position is required to be performed in Jersey As part of your duties all employees must ensure adherence to internal policies and procedures and meeting all personal AML obligations. Person Specification Qualifications

 Educated to at least ‘A’ level standard or equivalent, a degree level qualification would be advantageous. Preferably completion of or studying towards the AML / Compliance qualification (e.g. ICA Compliance Diploma/Certificate or AML Diploma/Certificate).

5

Job Description

Langham Hall Fund Management (Jersey) Limited, 3rd Floor Gaspe House, 66-72 Esplanade, St Helier, Jersey, JE1 2LH T: +44 (0) 1534 885200 E: info@langhamhall.com W: www.langhamhall.com Langham Hall Fund Management (Jersey) Limited is regulated by the Jersey Financial Services Commission.

 Previous experience in the CDD, KYC, AML/CFT and Compliance and Risk environment is essential; ideally three years’ demonstrable experience in a Compliance position

Technical Knowledge

 The candidate will have a good knowledge of the statutory and regulatory requirements of fund and trust company businesses, the regulatory regime under which we operate and the fund products we administer.

 Knowledge of Jersey legislation and a detailed understanding of the Fund Service Business and Trust Company Business Codes of Practice and guidance notes.

 A good understanding of anti-money laundering legislation and client due diligence requirements for a financial service business and its clients.

 The candidate will be expected to participate at meetings and have responsibility for ensuring the accurate and timely completion of reports and compliance related documentation.

Skills and Experience

 Ability to effectively present information and respond to questions from groups of managers and especially clients.

 Ability to solve practical problems and deal with a variety of situations for which there may be little precedence.

 The candidate must above all have excellent interpersonal and communication skills. Strong organisational and time management skills are essential.

 Ability to work within a team to mentor, coach and carry out on-the-job training with more junior staff.

 Ability to write reports, business correspondence and procedure manuals.

 Be self-motivated, adaptable and flexible in approach to the work.

 Ability to use initiative and work independently.

 High attention to detail and accuracy.

 The candidate should have an intermediate to advanced experience of Microsoft Office, mainly Word, Excel and Outlook, google and/or other search engines.

COMPLIANCE ADMINISTRATOR

Reports to: Head of Compliance

Role Overview

As Compliance Administrator, you’ll be involved in the day-to-day compliance operations of the business, helping ensure the company meets it obligations to the Jersey Financial Services Commission and other regulatory bodies. This will be with a focus on monitoring and developing the controls in place within Oakglen Wealth. Key Responsibilities

• Assist in maintaining the company's compliance framework in line with the JFSC regulatory obligations (including AML / CFT matters)

• Day to day administration within the compliance function and framework, including supporting:

▪ Compliance Monitoring Plan & Programme ▪ Monitoring (S&A, transactions, client etc), collating results, writing reports,

follow up with employees ▪ Batch screening data management, potential matches, follow up ▪ Client due diligence (CDD) and enhanced due diligence (EDD)

• Reviewing policies and procedures to align with evolving regulations • Undertaking periodic reviews of Higher and Standard risk client files • Maintaining compliance registers to ensure that we are documenting newly

identified occurrences • Assist with the conducting of gap analysis between legislation and our policies

and procedures • Assisting the Head of Compliance with JFSC requests and consultations • Promoting and fostering a culture of compliance in the business through training,

briefings, policies, procedures and other communication channels • Remaining up to date on regulatory and legal changes, as well as plan actions

Skills and Experience

• Relevant experience working within the financial services sector preferably within an investment business

• Good understanding of private client investment business • Strong verbal and written communication skills, sound analytical skill, reasoning

and detail-orientation • Good organisational skills and the ability to prioritise, including managing multiple

projects and deadlines • Solution driven attitude to problems • Good understanding of local regulatory requirements • Proficient with IT and various systems • Self-motivated and works well in a team environment • Enthusiastic contributor and eager to develop business culture of compliance • Working towards or interested in working towards an ICA qualification

Job Description

Role: Compliance Policy and Regulatory Engagement Lead

Location: Jersey / Guernsey

Line of Service: Risk & Quality - Compliance

Grade: Manager

Contracted Hours per Week: 37.5 hours

PwC Channel Islands Overview

PwC is a highly dynamic professional services firm offering Advisory, Tax, Audit and other

assurance services to a large portfolio of international and local clients. The Channel Islands

firm employs 600+ staff in offices across Jersey, Guernsey and Alderney and is part of an

international network of 151 PwC firms employing over 364,000 staff.

Job Summary:

The Compliance Team plays a vital role in ensuring PwC CI complies with its regulatory

obligations under the Guernsey and Jersey financial crime laws, regulations, rules and codes of

practice. We do this by designing a robust compliance framework comprising policies,

procedures, systems and controls; and conducting monitoring and testing of compliance with

the Firms’ policies and procedures; ensuring we keep policies and procedures up to date and

issuing a number of reports to the Leadership team.

In this dynamic role you will lead and coach a team to develop, maintain and implement the

firm’s compliance framework. You will also play a pivotal role in embedding technology to

enhance our compliance framework, driving efficiencies, and ensuring adherence to regulatory

standards. The role includes acting as primary support to the firm’s MLCO in developing and

applying the firm's AML/CFT and CPF policies and procedures and in managing our

relationships with the Jersey Financial Services Commission (JFSC) and Guernsey Financial

Services Commission (GFSC).

You will also build and maintain relationships with Network colleagues and participate in

relevant Network Forums in your areas of responsibility.

Responsibilities:

Note that the roles and responsibilities below will be delivered in conjunction with the support of

resources within a PwC Poland Centre of Excellence. In delivering on this role, you will be

responsible for the managing and leading a compliance team to support in meeting the

requirements and objectives set out below, always maintaining a focus on quality.

You will be expected to communicate any resourcing challenges to the Compliance Director

and/or Compliance Senior Manager promptly and with proposed actions/recommendations to

address any gaps.

Responsibilities include:

● Reporting

○ Responsible for the preparation, review and submission of regular annual/ad hoc

reporting to the JFSC/GFSC in line with regulatory guidance.

○ Drafting and managing communications with local regulators and ensuring timely

payment of regulatory fees.

○ Managing and coordinating regulatory visits by the GFSC/JFSC

○ Respond to regulatory consultation papers ahead of deadlines set, seeking input

from the Compliance Senior Manager, as required and ensuring that any

responses are reviewed by the Compliance Director prior to submission.

○ Responsible for preparation and review of the regular MLCO Report, ensuring

the report is complete, accurate and prepared in a timely manner; and facilitating

the review of the report by the Compliance Director. You may be required to

present the report or aspects thereof at the Risk & Quality (R&Q) Committee

from time to time.

○ Support the preparation of any information to be reported to the Territory

Leadership Team as required by the R&Q Committee and instructed by the

Compliance Director.

○ Support with the execution of any actions for Compliance as determined by the

R&Q Committee at the regular monthly meetings.

○ Support the Compliance Senior Manager and Director with data required for

external reporting to Network/under QMSE requirements which will include the

preparation of timely and accurate information covering areas of responsibility.

○ Ensuring compliance logs, trackers and registers remain up to date and complete

and that they are reviewed monthly:

■ Regulatory Correspondence

■ Regulator Updates/News

■ PwC Network Correspondence

■ Policy and procedure changes

■ Compliance Task Tracker

● Perform Compliance Analytics

○ Manage the quality - accuracy, completeness, reliability and security of any data

owned by the Compliance Team in the Risk and Quality Pillar which is used for

internal and/or external analysis and reporting.

○ Support senior leadership on the development of technology solutions to

enhance the compliance framework in areas such as regulatory reporting and

management information.

○ Coordination and management of the preparation, update and review of the

firm’s Business Risk Assessment (BRA) in accordance with the firm’s policies

and procedures

■ Prepare the draft BRA for review and approval by the Risk and

Compliance Director and the R&Q Committee. Consult with the

Compliance Monitoring Lead to ensure that the compliance monitoring

programme (CMP) is aligned to the BRA.

■ Recommend/set additional actions to address exposure outside of risk

appetite.

■ Where required, present parts or all the BRA to R&Q Committee and

other relevant stakeholders as required.

■ Oversee completion of actions identified by and ensure timely updates to

the BRA.

■ Ensure that the BRA is published for access by the firm.

● Compliance Advisory Services, incl. Policies and Procedures:

Understand the relevant AML/CFT/CPF legislation in both islands and play a key role in

ensuring compliance by our firm across both jurisdictions and in making sure our

compliance policies and procedures are robust, and risk based as follows:

○ Reviewing regulatory changes (including thematic feedback papers) on AML/CFT

and CPF matters published by the JFSC/GFSC monthly, ensuring these are

captured and that proposed actions are identified, documented.

○ Attendance of local regulatory / industry events, ensuring any proposed actions

are circulated to the Compliance and/or wider business where applicable.

○ Ensuring mapping of compliance policies and procedures to the requirements of

local laws and regulations as well as Network Policies and Procedures is

complete and up to date.

○ Recommending, approving and executing changes to the firm’s AML/CFT and

CPF policies and procedures, ensuring all requisite additional senior

management and Committee approvals are sought.

○ Attending the Compliance and KYC Team policy forum discussions, ensuring

actions agreed are completed in a timely manner by the Compliance Team.

○ Organisation and chairing regular meetings with the Compliance and

KYC/Onboarding Teams:

■ Preparation of and updates to the agenda.

■ Seeking input from attendees prior to the meeting to ensure

completeness of the agenda.

■ Documenting key discussion points and actions and ensuring these are

communicated to all parties within a week after the meeting.

■ Following up with all parties to ensure actions have been addressed in a

timely manner.

○ Provide guidance and advice to the business (ad hoc or as part of a consultation

process) in respect of the application of the firm’s AML/CFT and CPF policies

and procedures.

○ Oversight of ad-hoc CDD remediation projects (such as FATF remediation) with

support from the KYC Team.

● Manage Compliance Training and Communications

○ Support the execution of the AML/CFT/CPF-related training plan by contributing

to the preparation of training materials on subjects within your areas of

responsibility; and, where relevant, delivering aspects of the training to staff.

○ Support the Compliance Senior Manager with the execution of the

AML/CFT/CPF-related communications plan by contributing to and/or reviewing

publications or communications on subjects within areas of responsibility.

● Compliance Projects

○ Management of the delivery and execution of Compliance Projects on an ad hoc

basis

○ Monitoring and reporting on project status to key stakeholders.

Direct Reports:

This role reports to:

● Compliance Senior Manager and Director

Reporting into this role:

● Senior Support roles in Compliance and Independence

Qualifications & Certifications:

● A relevant professional qualification (i.e. ACCA, ICAEW).

● ICA Diploma in Governance, Risk and Compliance or similar (where not already held,

this would need to be completed by the individual in role)

Skills & Experience Required:

Essential skills:

● Good knowledge and understanding of relevant CI laws and regulations and relevant

related Network Standards and Network Risk Management Policies and procedures

covering AML/CFT/CPF and Sanctions

● Ability to identify, evaluate, and mitigate financial crime, sanctions and risks. This

involves conducting risk assessments and developing strategies to minimise potential

compliance issues.

● Analytical skills to understand complex legal documents, interpret regulations, and

analyse the potential impact of regulatory changes on the organisation; and then to

apply this knowledge and understanding in the design of relevant related policies,

procedures and controls for the firm.

● Experience in compliance monitoring, audit or internal audit: ability to prepare and

conduct compliance monitoring procedures by applying a risk-based approach and

relevant PwC methodology.

● Ability to identify, escalate and/or address and resolve compliance issues as they arise,

and develop practical solutions to complex compliance challenges.

● Ability to draft policies and procedures and design controls for application by the

business to ensure ongoing adherence to relevant CI laws and regulations, Network

Standards and Network Risk Management Policies.

● Strong written and spoken communication skills and strong interpersonal skills for

engagement with internal and external stakeholders, including employees, management,

and regulatory bodies.

● Ability to recommend compliance solutions which align to business strategy, applying a

commercial mindset.

● Training and Education: Skills in developing and implementing compliance training

programs for employees at all levels of the firm.

● Proficiency in relevant systems and technologies: Understanding of compliance software

and tools that aid in monitoring, reporting, and managing compliance-related data.

● Leadership skills - self and others.

● Strong collaboration and team management skills.

Desirable skills:

● 3 - 5 years relevant experience, preferably in a compliance role.

● Experience in managing relationships with regulators.

● Familiarity with global compliance frameworks.

● Advanced proficiency in compliance-related technologies.

● Strong problem-solving skills and the ability to recommend practical compliance

solutions.

● Experience as an MLRO, Deputy MLRO or within a financial crime team with a role in

receiving, investigating and reporting SARs to the authorities would be beneficial.

Travel Requirements:

● Occasional travel between Guernsey and Jersey - circa 6-8 times per annum

● Potential travel to other PwC offices or relevant external locations for training and

meetings.

The skills we look for in our people:

All our people need to demonstrate the skills and behaviours that support us in delivering our

business strategy. This is important to the work we do for our business, and our clients. These

skills and behaviours make up our global leadership framework, The PwC Professional.

The PwC Professional focuses on five core attributes: whole leadership, business acumen,

technical capabilities, global acumen and relationships. We use this framework to recruit,

develop, and assess our people, at all grades and in all areas of our business, because we

expect all our people to be leaders.

Diversity:

We work in a changing world which offers great opportunities for people with diverse

backgrounds and experiences. We seek to attract and employ the best people from the widest

talent pool as well as those who reflect the diverse nature of our society. We aim to encourage a

culture where people can be themselves and be valued for their unique strengths. Creating

value through diversity is what makes us strong as a business. https://www.pwc.co.uk/diversity

JOB DESCRIPTION

JOB TITLE Manager – Compliance (VASP) JOB LEVEL: B2

DEPARTMENT Compliance

REPORTING TO Client Compliance Lead Jersey

JURISDICTION Jersey

OAK SUMMARY Oak offers innovative private client, corporate and fund administration services tailored to our clients' needs. Today, Oak operates across Guernsey, Jersey, Isle of Man, Mauritius and The Bahamas with more than 250 employees administering over $24 billion in assets. The group is known for its client-centric approach, commitment to excellence and forward-thinking vision. Oak is owned by Opera Limited, a new holding company backed by Pula, the family office of Stephen Lansdown, co-founder of Hargreaves Lansdown, along with like-minded shareholders such as Sealyham, the family office of Tom Scott. Opera has welcomed Accuro (pending regulatory approval), Amber (now Oak Bahamas), HFL, Meritus (pending regulatory approval) and Oak into the fold, each one powered by Opera, each one contributing to our shared ambition. For more information, please visit: https://www.operalimited.com/ JOB SUMMARY

Responsibility for the AML / CFT / CPF function (including prevention, detection and reporting) of Oak Jersey's VASP Client Entities where appointed as MLCO / MLRO.

Assist in the development of specific VASP policies and procedures.

Working with the Head of Compliance Jersey and Client Compliance Lead ensuring the day to day compliance and anti-financial crime functions of Oak Jersey meets the required standards.

This will involve advising and reporting to Key Business Partners on business issues and standards and ensuring compliance with all policies and procedures.

KEY RESPONSIBILITIES

With support from the Client Compliance Lead, provide the three Key Person roles for Oak Jersey’s VASP Clients Entities (including AMLSP supervised persons), as required.

JOB DESCRIPTION

Client Entity Money Laundering Compliance Officer:

Familiarisation and keeping up to date with the Proceeds of Crime (Jersey) Law 1999, Terrorism (Jersey) Law 2002, Money Laundering and Weapons Development (Directions) (Jersey) Law 2012, and the Sanctions and Asset-Freezing (Jersey) Law 2019, together with associated Laws, Orders and Regulatory Codes of Practice and Guidance associated with the same

Preparation, review, advise and update on AML / CFT / CPF Strategy and Business Risk Assessments

Preparation and delivery of MLCO reports and statistics including analysis and review for quarterly governance meetings

Review, maintenance and delivery of the Board approved Compliance Monitoring Programmes

Working with the Client Facing Teams and Senior Management, and provision of assistance in the take on of new business including provision of guidance and advice and the assessment, and where financial crime/CDD nexus, completion of take on forms and risk matrices etc. Checking adequacy of CDD documentation / processing and filing of same

Updating, monitoring and maintenance of relevant Compliance registers

Liaison with third parties and all administration required in respect of Eligible Introducer / Obliged Persons regime including liaison with respective businesses, completion of documentation and attendance at meetings with approved Intermediaries

Working within the Compliance team, management of and assistance in the carrying out of Sanctions checks on an ad hoc basis and on receipt of notifications

Client Entity Money Laundering Reporting Officer

Familiarisation and keeping up to date with the Proceeds of Crime (Jersey) Law 1999, Terrorism (Jersey) Law 2002, Money Laundering and Weapons Development (Directions) (Jersey) Law 2012, and the Sanctions and Asset-Freezing (Jersey) Law 2019, together with associated Laws, Orders and Regulatory Codes of Practice and Guidance associated with the same

Preparation and delivery of MLRO reports and statistics including analysis and review for quarterly governance meetings

Principal function is to receive and consider internal suspicious activity reports (SARs)

Externalisation of SARs to the relevant FIU

Principal point of contact with the relevant FIU

Acting as the liaison point with the local regulator and any third parties in relation to SARs

Maintenance of records and register(s) of all enquiries received from law enforcement agencies, internal and external SARs reporting

Ensuring relationships are managed effectively post disclosure to avoid tipping off

Working within the Compliance team, management of and assistance in the carrying out of Liaison notice checks on an ad hoc basis and on receipt of notifications

JOB DESCRIPTION

Client Entity Compliance Officer (should VASP entities require additional regulatory licences)

Familiarisation and keeping up to date with the Financial Services (Jersey) Law 1998, together with associated Laws, Orders and Regulatory Codes of Practice and Guidance associated with the same

Preparation, review, advise and update on operational strategy and Business Risk Assessments

Preparation and delivery of CO reports and statistics including analysis and review for quarterly governance meetings

Review, maintenance and delivery of the Board approved Compliance Monitoring Programme

Updating, monitoring and maintenance of relevant Compliance registers

Point of contact with the JFSC

Liaison with third parties and all administration required in respect of any Outsourced functions including liaison with respective businesses, completion of documentation and attendance at meetings

Review of Professional Indemnity and Directors and Officers insurance cover

General Compliance & Risk Function

Complete / assist the Oak Jersey Board and other regulated managed businesses with the JFSC’s Annual Supervisory Risk Data Collection Exercise, in collaboration with the MLCO

Assist various business units with regard to Oak's procedure manuals including assistance in drafting / amending as required

Working within the Compliance team, management of and assistance in the upkeep of CDD records, provide reporting to business units / individuals where deficiencies noted. Ad hoc reporting

Attendance at Board approved Committees as required, providing contribution to preparation and materials, carrying out duties as described within the relevant Terms of Reference for each Committee

Consider at all times the financial crime and due diligence issues and report any concerns as appropriate

Completing and inputting time in the time billing system on a daily basis

In all aspects of your role, display and adhere to Oak’s vision and values

Line Management Responsibilities

Guide, support, encourage and develop team in line with Oak’s People Management Framework

JOB DESCRIPTION

Employee Signature:_____________________________________ Date:_____________________ Employee Name:________________________________________

KEY COMPETENCIES & SKILLS

Recognised industry professional qualification e.g. ICA ACAMS or similar certificate in AML Foundations for Crypto Assets and Blockchain Minimum of 7 years in a financial services environment, preferably with relevant management

experience Good IT skills, including practical experience of Microsoft Outlook, Word and Excel Good knowledge of databases such as Unity / ViewPoint would be useful Good understanding of Corporate, Trust and Fund Structures Excellent knowledge and understanding of AML legislation (relative to role) Strong time management, prioritisation and organisational skills Strong/Excellent written & verbal communication skills

KEY BUSINESS PARTNERS

Client Teams Client Accounting Team Various banks Investment establishments External business partners connected to the client portfolio JFIU, Law Officers Department, JFSC Oak Jersey Compliance Officer, together with individuals who provide Compliance Officer, Money

Laundering Compliance Officer & Money Laundering Reporting Officer roles to other client managed entities

Oak Group Limited – EXCO & Board

ASL International Recruitment Limited 22-24 Seale Street, St Helier, Jersey, JE2 3QG (Registered Office) + 44 (0) 1534 500000 Registered Company GST No 0101275 Registered Jersey No. 95590

Senior Manager, Operational Risk Oversight

Overview

Skipton International is seeking a highly skilled Senior Manager – Operational Risk

Oversight to provide independent challenge and oversight of operational risk across the

organisation. This role plays a critical part in ensuring our operational risk frameworks,

policies, and controls are robust, effective, and aligned with regulatory expectations and

business objectives.

As a senior risk specialist, you will champion best practice in operational risk

management, support a strong risk culture, and act as a trusted advisor to senior

leaders. You’ll help to ensure the business remains resilient, compliant, and well-

prepared for emerging risks in a dynamic regulatory environment.

Key Accountabilities

Operational Risk Oversight

• Provide independent oversight and challenge to operational risk activities across

all business units.

• Ensure compliance with the Operational Risk Framework and relevant

regulatory standards (GFSC/JFSC).

• Review and challenge risk assessments, control effectiveness, and mitigation

plans.

• Monitor key risk indicators (KRIs) and identify emerging risks.

• Contribute to the enhancement of operational risk policies, standards, and

methodologies.

• Ensure alignment with enterprise-wide risk management and industry best

practice.

• Produce high-quality risk reports for ExCo and risk committees.

• Escalate significant risk issues, control weaknesses, and incidents promptly.

• Oversee root cause analysis for major operational risk events and ensure lessons

learned are fully embedded.

Leadership & Engagement

• Lead by example and champion Skipton’s Values and Behaviours.

• Challenge unacceptable behaviour and support a positive, accountable risk

culture.

Customer Strategy

ASL International Recruitment Limited 22-24 Seale Street, St Helier, Jersey, JE2 3QG (Registered Office) + 44 (0) 1534 500000 Registered Company GST No 0101275 Registered Jersey No. 95590

• Support good customer outcomes and ensure excellent service is delivered

across the business.

• Contribute to maintaining high levels of customer satisfaction.

Change & Knowledge Management

• Embrace and advocate for continuous improvement.

• Identify opportunities to enhance existing processes and drive high performance.

People Development

• Take ownership of personal development and support capability-building within

the Risk function.

• Maintain clear performance objectives and proactively address gaps in

knowledge.

Operational Responsibilities

• Maintain strict customer confidentiality and uphold data integrity in line with

internal policies.

• Ensure compliance with all data, IT, and security controls.

Risk Management

• Adhere to risk and compliance policies at all times.

• Complete mandatory training annually.

• Support cross-training and knowledge sharing where appropriate.

Requirements

Essential

Qualifications

• Degree in Risk Management, Finance, or a related discipline.

Skills

• Excellent analytical and problem-solving skills.

• Strong stakeholder management and influencing skills.

• Proficiency with risk systems, reporting tools, and data analytics.

Experience

• Demonstrated strategic risk thinking.

ASL International Recruitment Limited 22-24 Seale Street, St Helier, Jersey, JE2 3QG (Registered Office) + 44 (0) 1534 500000 Registered Company GST No 0101275 Registered Jersey No. 95590

• Ability to provide independent and constructive challenge.

• Strong understanding of regulatory environments (GFSC/JFSC or equivalent).

• Clear, confident communication and the ability to engage senior leaders.

• Experience driving continuous improvement within a risk or control function.

Desirable

• Additional professional risk qualifications or certifications.

• Experience within financial services or regulated environments.

1

Role: Senior Associate – Compliance, Independence and Ethics

Location: Jersey or Guernsey

Line of Service: Business Enablement – Ethics and Compliance Pillar

Grade: Senior Associate

Contracted Hours per Week: 37.5 hours

PwC Channel Islands Overview

At PwC CI, we help you build, accelerate, and sustain momentum in a world that never stops

moving. With our tech-forward and people-empowered network, we provide expert assurance,

tax and advisory services to turn challenges into opportunities. Leveraging deep expertise and

advanced capabilities, we ensure you’re ready for any future, helping you act boldly and achieve

real results.

Job Summary:

The Pillar comprises:

• Compliance (AML and Sanctions)

• Independence

• Ethics & Business Conduct (E&BC).

As a Compliance, Independence & Ethics Senior Associate, you will work alongside Compliance,

Independence & Ethics leadership team to support the delivery of compliance, independence

and ethics activities and projects. Each PwC Member Firm implements systems, policies, and

procedures necessary to comply with the detailed requirements of Independence, Ethics and

Compliance Standards.

Auditor independence is fundamental to maintaining trust and credibility at PwC. It ensures

that our professional judgement is free from any influence that could compromise objectivity.

Employees and partners of the firm have a personal responsibility to manage their financial

interests and arrangements in strict compliance with independence policies.

Ethics is a core part of PwC’s culture and brand. Maintaining a strong ethical culture is key to

how we approach our relationships with clients, stakeholders, and each other to deliver our PwC

Purpose: to build trust in society and solve important problems. Our firm is committed to the

highest standards of ethical behaviour and compliance. Business conduct encompasses the

principles and policies that guide how we operate and interact with clients, regulators, and each

other.

2

PwC also implement systems, policies, and procedures to mitigate the risk of being, directly or

indirectly, involved in money laundering, terrorist financing, and proliferation financing activity

and to prevent being involved with clients or activities that may violate applicable sanctions laws

and regulations.

This role will provide key insight into how the Firm manages risk in the face of increasing

Network and regulatory requirements in these areas. You will also have the opportunity to work

collaboratively with other Business Enablement teams, allowing you to broaden your experience

and make a wider impact across the organisation.

Our team culture emphasises mutual support and continuous professional development,

ensuring you have many opportunities to receive coaching.

Responsibilities:

You will be responsible for performing various processes and operating various controls in the

team alongside other colleagues. Tasks will be assigned based on business needs; however, we

will seek to provide you with a primary area of responsibility. Your work will be reviewed and

approved by a manager, a senior manager and in some cases, a director or partner.

Policy Compliance, reviews, and investigations

• Supporting with annual reviews of and updates to policies and procedures.

• Receive and review internal applications (e.g. external appointments for partners and

staff; requests for firm sponsorship and speaking events).

• Receive and review consultations and draft responses in line with policy.

• Investigate breaches and support with root cause analysis (self-reported/ detected

during compliance monitoring).

• Review pre-joining independence forms and independence/conflicts disclosures for new

joiners.

Monitoring & Reporting

• Conducting compliance monitoring tests and preparing reports on the results (e.g.

Personal Independence Compliance Testing (PICT)).

• Maintain and update compliance registers (systems access, breaches, dispensations).

• Manage and action assigned compliance tasks within various Compliance,

Independence, and Ethics systems (e.g. ServiceNow; Checkpoint; Adverse News, PEP,

and Sanctions Escalations).

• Assist with the preparation of quarterly reporting to the Risk and Quality Committee,

Partner Responsible for Independence, and Ethics, as well as Quality Leaders.

• Assist with the preparation of mandatory reporting to regulators and preparation for

regulatory inspections.

• Oversee checkpoint-related activities for new joiners and promotions.

Process & Documentation

3

• Maintain and update process notes for compliance, independence, and ethics team tasks.

• Maintain communications logs, including internal communications, regulatory

communications, and communications from the PwC Network - assigning and tracking

actions allocated to team members.

• Coordinate review schedules for Directors/Partners.

• Assist with implementing global independence and compliance applications for the

Channel Islands firm, as well as User Acceptance Testing for system changes.

Training & Communication

• Support the delivery of training to new joiners.

• Prepare training materials for new joiners and annual partner and staff training sessions.

• Allocate Compliance Confirmations to new joiners.

• Communicate independence matters to the firm using approved channels.

• Support the roll-out and review of Annual Compliance Confirmations for all partners

and staff within the firm.

Team Support

• Organise monthly team meetings, set agendas, take notes, and track actions.

• Manage schedule of reviews by leadership within the team.

• Contribute to process enhancements to drive operational efficiency and excellence.

• Work collaboratively with remote teams and colleagues in other territories and locations.

Direct Reports:

This role reports to:

• Compliance, Independence and Ethics Manager and/or Senior Manager

There are no direct reports into this role.

Qualifications & Certifications:

• A relevant professional qualification (e.g. ACCA, ICAEW, etc.) would be beneficial.

• Further study support is also available if candidates wish to pursue study in an area

relevant to role.

Skills & Experience Required:

Essential skills:

• Strong organisational skills – ability to plan and work to deadlines.

• Tech-savvy mindset with a willingness to explore and master internal systems to support

business operations.

• Enthusiastic, energetic, and driven by challenge.

• Excellent communication skills – with the ability to collaborate with cross-functional

teams and stakeholders at all levels.

4

• Proactive, self-motivated, and able to take responsibility for own work

• Attention to detail.

• Team player, respected by the leadership team, the managers, and the staff

• Audit, compliance or risk management expertise.

Desirable skills:

• Knowledge, understanding of and experience in auditor independence rules, insider

dealing requirements and/or conflicts management.

• Knowledge, understanding of and experience in financial crime compliance or client due

diligence.

• Coaching junior team members.

• Delivering training and development of training materials.

• Experience in using AI tools such as Co-Pilot, Chat GPT in a work environment to drive

efficiencies in operations.

Travel Requirements:

It is anticipated that this role will require travel between the islands of Jersey and Guernsey

once a quarter.

The skills we look for in our people:

All our people need to demonstrate the skills and behaviours that support us in delivering our

business strategy. This is important to the work we do for our business, and our clients. These

skills and behaviours make up our global leadership framework, Evolved PwC Professional.

The Evolved PwC Professional focuses on two core behaviours: Trusted Leadership and

Distinctive outcomes. Trusted Leadership is underpinned by core behaviours that Inspire,

Empower and Evolve, and Distinctive outcomes is underpinned by behaviours that Champion,

Build and Deliver.

Diversity:

We work in a changing world which offers great opportunities for people with diverse

backgrounds and experiences. We seek to attract and employ the best people from the widest

talent pool as well as those who reflect the diverse nature of our society. We aim to encourage a

culture where people can be themselves and be valued for their unique strengths. Creating value

through diversity is what makes us strong as a business. https://pwc.to/2vY6KZm.