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

Compliance Manager

This is a great opportunity for a driven and talented individual to make a real difference as part of a dedicated and professional team. The main areas of responsibility for this role are to provide detailed and timely advice and reports for LHFMJ and their clients to assist with a broad range of compliance and risk management duties which focus on ensuring that LHFMJ regulatory obligations and risk management objectives are fulfilled. The role also involves managing a team of compliance professionals to ensure the above goals are met. There will be a number of interesting and varied ad hoc projects which will give the individual exposure to a wide variety of high quality clients.

Key Responsibilities

New Business:

• To have oversight of and perform reviews of all prospective new business

• Ensure full CDD is held and signed off for all new entities and individuals prior to the new business meeting where required

• Review internal onboarding checklists

• Be responsible for the drafting of the internal Client Risk Assessment

• Schedule and attend New Business meetings ensuring all relevant documentation and information has been circulated in good time prior to New Business meeting.

• Assist with the preparation and coordination of the Client Business Risk Assessments and Risk Mitigation Programs to include preparing templates, population and coordinating other stakeholder input.

• Ensuring all new entities and individuals are correctly set up on our internal systems.

Responsible for Onboarding New Investors:

• Take the lead on CDD collation for first closes by maintaining trackers and attending meetings to ensure CDD is collated in a timely manner

• Provide detailed CDD advice to management in line with external and internal guidance / requirements. Maintain a commercial approach to CDD.

• Ensure ISCs, Simplified Checklist, EDD Checklists have been completed

• Be responsible for the sign off of all new investors for subsequent closes

Compliance Monitoring (including Periodic Reviews) and Reporting:

• To have oversight of Periodic Reviews in respect of all Langham Hall client entities.

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

• Ensure that all action points generated by internal reviews and monitoring are actively managed and closed/completed as necessary.

• To provide management information as required for committee/boards or other meetings.

AML/CFT/CPF

• Fully understand and keep up to date with requirements of AML/CFT/CPF regulations and guidance handbooks (Jersey) and those regulations applicable to LHFMJ. Recommend to the Compliance Manger any areas that need attention within the business.

• Have oversight of the periodic CDD reviews process, act as the main point of escalation for any concerns raised.

• When required assist the Client Compliance team to provide detailed CDD advice and support to the teams on regulatory CDD requirements including compiling and signing- off CDD elements of the investor files.

General:

• Identify policies & procedures that may require streamlining or modifying and proactively work with the Compliance Officer to make the required changes.

• Work with the Compliance Officer to ensure robust compliance with the relevant legislation and guidance.

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

• To ensure that all client related deadlines and deliverables that impact the compliance team are actively managed and strive to meet all deadlines utilising the junior team where necessary.

• To provide advice and possible solutions to the business on Compliance matters and be a point of contact for the wider business.

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

• Promote a strong compliance and AML/CFT/CPF culture to all staff.

In addition to the duties listed above, provision of assistance to the Compliance Officer or wider compliance team may be requested to perform any other ad hoc duties or projects.

People Management:

• Act as first point of contact for queries from team members.

• Supervision, coaching and mentoring of junior staff.

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

• Provide support and guidance to team members, acting as a mentor and role model.

• Manage the day to day workload of the team, including effective delegation and resource management.

• Manage performance of direct reports through the Performance Management process, including Performance Review meetings and objective setting.

• Support the recruitment process, reviewing CV’s and conducting interviews with potential candidates.

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

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

As part of your duties all employees must ensure adherence to internal policies and procedures and meeting all personal AML obligations.

Technical Knowledge / Skills Required

Qualifications

• To hold a table 4 compliance professional qualification or equivalent.

• Ideally five or more years of demonstrable experience within the financial services industry with a detailed understanding of the Trust Company and Fund Services Business compliance environment.

Technical Knowledge

• The candidate will need to be familiar with statutory and regulatory requirements relating to fund and trust company businesses, the regulatory regime under which we operate and the suite of available fund products we administer.

• Ability to work through practical compliance and AML / CFT /CPF related scenarios within the parameters of internal and external policies and procedures / regulations.

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

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

• Have a strong understanding of anti-money laundering legislation and client due diligence requirements for a financial service business and its clients.

Skills and Experience

• Experience of leading CDD and Periodic Review processes.

• Experience of working within a 2nd Line Compliance function within the Jersey financial services industry.

• Ability to write reports, business correspondence, policy documents and procedure manuals.

• Ability to effectively present information and respond to questions from groups of managers, directors and clients.

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

• The candidate must have excellent communication, organisational and time management skills.

Benefits

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.

About Langham Hall

Langham Hall provides premium quality accounting, fund administration and investor reporting services to Real Estate 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.

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

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.

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

Business Analyst

Role: Business Analyst (Permanent/Full-time)

The successful candidate will join the JFSC at a key stage in its development, as it seeks to play an enhanced role in the continued success of Jersey as a highly regarded International Financial Centre. The candidate will deliver the following outcomes:

• Drive successful strategic project delivery by translating business needs into clear, actionable requirements that directly enable measurable organisational outcomes.

• Utilise a range of structured workshopping techniques to elicit, validate, and refine business requirements, resulting in clear, prioritised, and stakeholder deliverables that accelerate decision-making and implementations.

• Lead benefit realisation of internal and external benefits, by identifying, tracking, and evidencing both qualitative (e.g. improved stakeholder feedback, user satisfaction,) and quantitative (e.g. KPIs uplift, cost savings, time reductions) measures to demonstrate success and the value of change initiatives.

• Adapt quickly to evolving priorities with a responsive hands-on approach and remain flexible to ensure project milestones are achieved and operational excellence initiatives deliver intended improvements, to support the team with core project and operational excellence delivery.

• Build trust and maintain alignment by communicating transparently, proactively managing expectations and ensuring stakeholder needs are consistently met or exceeded.

• Strengthen organisational capability by supporting training JFSC colleagues in Lean Six Sigma methodologies and embedding a measurable culture of continuous improvement across the organisation.

You will add value to the organisation by:

• Support the JFSC on delivering on their strategic priorities.

• Drives improvements on processes and systems.

• Maintains high standards of governance in line with the JFSC policies and procedures.

• Support and embed a culture of continuous improvement.

• Developing strong relationships with key internal and external stakeholders.

• Celebrate project success through measurable benefits.

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

What will success in this role look like?

• Business requirements are documented accurately and timely to a high standard, comprehensively covering all relevant use cases and scenarios.

• Continuous improvement initiatives lead to measurable gains in line with the JFSC’s Operational Excellence quadrants.

• Communication is clear, timely, and transparent, leading to high levels of trust and satisfaction among internal and external stakeholders.

• Support wider change and operational priorities as needed, demonstrating agility and a solution-focused mindset

Requirements

Are you suitable for this role?

The successful candidate will have a demonstratable background in business analysis and associated qualifications. They will also have the ability to negotiate, mediate and tailor explanations of complex processes, procedures and concepts to the relevant audience along with the ability to solve problems creatively and effectively. Strong communication skills, both written and verbal.

This role provides the opportunity to be involved in delivering our strategy through supporting major projects and programmed delivery and by encouraging others to look for opportunities for operational improvement through their learning and development.

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

1

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

2

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

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.

1

Role: Associate – Compliance, Independence and Ethics

Location: Jersey or Guernsey

Line of Service: Business Enablement – Ethics and Compliance Pillar

Grade: 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 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 ample opportunities to receive coaching. You will receive close supervision

and guidance from your manager and senior team members as you contribute to maintaining

our high standards of ethical behaviour and compliance. Your primary focus will be on learning

processes, supporting ongoing activities, and developing your professional skills. The role offers

excellent training opportunities and a strong pathway for professional growth within the firm.

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 senior associate, manager, or a senior manager and in some cases, a director or

partner. You will assist with core compliance, independence, and ethics tasks as directed by

senior staff as follows:

• Review and organise documentation, notices, and communications from our business,

regulators and the PwC Network.

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

• Monitoring mailboxes and forwarding items to the appropriate colleagues.

• Allocation and tracking of mandatory compliance tasks for new joiners.

• Maintenance and updating of records and registers, such as systems access and breaches

logs.

• Participate in team meetings and training sessions to build your knowledge and skills.

• General administrative support to the risk, compliance, and ethics teams as required.

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

Personal Independence Compliance Testing (PICT)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 Senior Associate.

3

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.

• Effective communication skills.

• 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 or experience in auditor independence rules, insider

dealing requirements and/or conflicts management.

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

diligence.

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

efficiencies in operations.

• Audit, compliance or risk management knowledge, understanding or experience.

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.

4

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.

Role: Independence, Ethics and Business Conduct - Quality & Control Framework Lead

Location: Jersey/Guernsey

Line of Service: Business Enablement - Independence, Ethics and 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:

This role supports the Independence, Ethics and Business Conduct Team in maintaining the

firm’s integrity, ethical conduct and compliance with independence standards. The Manager will

lead operational execution of compliance monitoring, training, reporting, and process

improvements, ensuring alignment with global and UK policies. This role is central to PwC’s

mission to build trust in society and solve important problems. By proactively identifying ethical

risks and promoting principled behaviour, the Ethics and Business Conduct Manager helps

safeguard the firm’s reputation and ensures that PwC remains values and quality driven.

The Independence, Ethics and Business Conduct team plays a critical role in ensuring that

employees and the firm remain independent of our clients in accordance with applicable

independence and ethical standards and fulfilling the Firm’s reporting obligations to the wider

PwC network. We do this by the following:

● carrying out monitoring with the Firms’ policies and procedures.

● ensuring we keep policies and procedures up to date.

● providing training to employees.

● maintaining and providing input to client deliverables and templates.

● issuing a number of reports/communications to Staff and the Leadership team, as well

as the PwC Network.

Responsibilities

You will lead and coach a team of individuals who will support you in delivering on key activities

for the Compliance, Independence and Ethics team:

• Ensuring that the firm’s business conduct is always managed carefully and consistently,

covering Engagement Independence, Anti-Trust and Fair Competition; Bribery and

Corruption; Conflicts of Interest, Modern Slavery, Human Rights and Insider Trading.

• Champion PwC’s Code of Conduct across all levels of the firm and promote a “speak up,

listen up, follow up” culture, encouraging open dialogue and ethical decision-making.

Policies and procedures

• Support engagement teams in meeting independence requirements in line with Network

and regulatory standards.

• Liaise with UK counterparts to ensure local policies remain aligned with global and UK

frameworks, including PwC’s Purpose and Values.

• Monitor and act on network communications, coordinating appropriate responses.

• Implement process improvements as directed by senior leadership.

• Draft and propose policy updates, ensuring relevance and alignment with current

standards.

• Oversee timely approval, publication, and communication of policy changes across the

business.

• Manage ethics-related initiatives, including induction and CPD programmes.

• Support the development and delivery of training on new and existing policies,

collaborating with L&D and business leaders.

• Respond to consultations and escalations, referring complex matters to senior managers

or directors.

• Lead technology-related initiatives supporting policy implementation, development, and

reporting.

Compliance framework and monitoring

• Contribute to the design and implementation of the independence compliance framework

for partners, staff, and engagements, ensuring alignment with internal and external

standards (e.g. IESBA).

• Manage regular monitoring and assessments of independence, ethics, and business

conduct procedures, supported by junior team members.

• Maintain and update risk assessments and action plans in accordance with Network and

Audit Quality Standards.

• Coordinate stakeholder input and ensure timely review and approval by senior

leadership.

• Collaborate with UK and local Risk and Quality teams to ensure regulatory alignment.

• Maintain compliance logs and registers (e.g. breaches, communications).

• Liaise with the People Pillar on ethics case outcomes and training integrity reviews;

prepare analysis for senior review.

• Ensure timely completion and documentation of monitoring activities.

• Analyse results, identify trends and exceptions, and implement remediation plans.

• Provide regular updates to senior leadership and escalate high-priority issues.

• Participate in relevant network and regional calls to inform risk assessments.

Compliance Reporting

• Manage responses to document and data requests for Independence Assessments; and

JBR requests.

• Manage the preparation and review of reports to the Risk and Quality Committee,

covering regulatory updates, monitoring outcomes, and remediation actions.

• Oversee quarterly and annual reporting under Audit Quality Standards (QMSE, ISQM1,

QC 1000), ensuring completeness and accuracy.

• Manage the coordination reporting to global teams under Network Standards and Risk

Management Policies.

• Ensure all reports are reviewed and approved by senior leadership, with supporting

evidence retained.

Regulatory, Internal Audit and Network review engagement lead

• Coordination of external assessments by regulators, Internal Audit, and network

reviewers (e.g. QMR teams).

• Manage the preparation and submission of documentation and information for review,

ensuring senior leadership approval.

• Keep senior stakeholders informed of review progress and escalate issues as needed.

• Review outcomes and actions from assessments, updating risk assessments and action

plans accordingly.

• Support with the assignment of responsibilities and track completion of remediation

actions.

Direct Reports:

This role reports to:

● The Compliance, Ethics and Independence Senior Managers

● The Compliance, Ethics and Independence Directors

● The Partner Responsible for Independence and Ethics / Conflict of Interest Specialist

Reporting to this role:

● Senior Support - Independence *

[*Additional resources to be recruited in due course as part of our ongoing development of this

team]

Qualifications & Certifications:

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

Further study support is also available.

Skills & Experience Required:

Essential skills:

● Solid understanding of independence and ethics requirements, including IESBA

guidelines, a global firm’s network standards, and risk management policies.

● Ability to assess and mitigate risks related to independence, ethics, and business

conduct.

● Analytical capability to interpret regulatory requirements and evaluate their impact on

firm operations.

● Experience in compliance monitoring and audit, applying a risk-based approach.

● Skilled in interpreting data and producing clear, actionable reports.

● Ability to resolve issues pragmatically and develop effective solutions.

● Experience drafting policies and designing controls to ensure compliance with relevant

standards and regulations.

● Strong written and verbal communication skills, with the ability to engage effectively with

stakeholders at all levels, including regulators.

● Commercial awareness and ability to align compliance solutions with business strategy.

● Commitment to fostering an inclusive and psychologically safe working environment.

● Experience designing and delivering.

● Demonstrated leadership in managing self and others, with strong collaboration and

team management skills.

Desirable skills:

● Familiarity with PwC’s Code of Conduct and its practical application, as well as Network

Standards, PwC Risk Management Policies and PwC Methodologies.

● 3-5 years relevant experience in audit, independence and ethics

● Experience with compliance systems implementation projects.

● Proficiency in compliance-related technologies.

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

solutions.

● Experience and knowledge on how to go about driving ethical culture, responding to

cultural shifts, and implementing firm-wide campaigns and initiatives.

Travel Requirements:

This role may require you to travel between our PwC Jersey / Guernsey (depending on where

candidate based) and UK offices from time to time (circa 4 - 6 times per annum). You may also

be required to attend training in other locations.

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