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 Administrator, Compliance Monitoring

Principal Responsibilities

• Carry out testing as required within the CMP in accordance with the CMP schedule, documenting all findings within the test sheets, for review by the CMP Manager, for Fairway Group and related client entities;

• Provide input into future improvements to the relevant CMPs, based on the testing conducted and observations made;

• Assist with the timely clearance of CMP findings, by proactively liaising with the business teams regarding actions to be taken;

• Assist with the preparation of compliance related management information and reports;

• Consider or suggest ways of improving internal procedures and practices encountered whilst performing the CMP testing;

• Provide back up support and assistance to other members of the Compliance team as and when appropriate;

• To champion a compliance culture within the Fairway Group;

• Assist employees with queries that may arise on AML / CFT / CPF or regulatory compliance matters; and

• Other projects as assigned and other duties that may be deemed appropriate to this role.

General Responsibilities

• Develop and maintain good relations with staff members;

• Ensure all work is conducted in accordance with internal procedures;

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

• Monitor performance against personal and developmental targets;

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

• Identify areas where further training would be beneficial and bring these to the attention of the Director & Head of Risk & Compliance;

• Ensure accurate maintenance of records;

• Achievement of objectives and KPIs;

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

• Undertake anti-money laundering training as required by internal procedures; and

• Maintain an awareness of regulatory and compliance related legislation and guidance in general.

Competencies & skills required

• Professionalism, dependability, integrity and trustworthiness combined with cooperative attitude;

• Possess a relevant professional qualification;

• Strong organisational skills with excellent attention to detail;

• Be self-motivated, adaptable and flexible in approach to the work;

• Minimum 5 years financial services industry experience;

• A team player and confident in dealings with others; and

• Demonstrable collaborative approach in order to assist in the implementation, maintenance and support of a compliance focused culture within the Company.

IT Skills

• Microsoft Office – mainly Word, Excel and Outlook; and

• Any other IT system deemed to be necessary for the role.

Role Profile

About us

We supervise the island's financial services industry for compliance with both conduct and prudential requirements, and under the anti-money laundering (AML), countering financing of terrorism (CFT), and countering proliferation financing (CPF) framework. The JFSC is one of the few regulators globally to benefit from the regulator and the entity Registrar operating under a single financial services commission.

Division: Supervision

The Supervision division's primary function is to oversee the financial services industry to ensure relevant legal obligations and regulatory requirements are met. As part of this we continually assess whether existing or emerging risks, to which Jersey is exposed, are being effectively managed.

Team: Examination Unit

The JFSC’s Examination Unit is comprised of two teams -the Supervision Examination Unit, responsible for undertaking thematic and supervisory risk examinations; and the Financial Crime Examination Unit, responsible for undertaking financial crime risk examinations.

The teams are dedicated to reviewing compliance with all legal and regulatory obligations such as those arising under the relevant sector Codes of Practice as well as those arising under the Money Laundering (Jersey) Order 2008 and the AML/CFT/CPF Code of Practice set out in our Handbook.

The teams coordinate and deliver a programme of examinations ensuring businesses supervised by the JFSC are complying with statutory and regulatory requirements. They also publish feedback on the findings identified and highlighting areas of good practice.

Trainee Examiner

To apply for any vacancies at the JFSC, submit an application form along with your CV to careers@jerseyfsc.org

Role: (Permanent /Full-time)

You will assist the examination teams to manage and deliver the examination programme to the agreed standards, in line with procedures and key performance measures. You will be responsible for setting up examination cases and ensuring timely execution of tasks in our operational systems. You will be encouraged to attend and assist with the examinations undertaken by the team. 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 finance centre. The candidate will deliver the following outcomes:

› Support the team in ensuring that all examinations are planned and conducted in line with the agreed methodology and deadlines.

› Assist with onsite examinations including document review and interviews. › Support the team in ensuring that all examination processes are clearly mapped,

documented and maintained. › Apply a risk-based approach to focus on key examination programme priorities. › Assist in ensuring relevant stakeholders (internal and external) are kept adequately

informed throughout the examination process. › Contribute to the ongoing development of the examination methodology and process,

including focusing on improving our use of data. › Share knowledge and experience with colleagues to help to ensure continuous

improvement of our operational systems and controls.

You will add value to the organisation by:

› Contributing to the JFSC’s mission to maintain Jersey’s position as a leading international

finance centre with high regulatory standards, supporting its role in combatting regulatory

risks as part of the wider international effort.

› Supporting the team’s collaboration with one another and the wider division to

continuously share knowledge and feedback from the examinations.

What will success in this role look like?

› Providing effective support in the preparation for and execution of examinations › Meeting deadlines for the completion of tasks and successfully balancing competing

priorities › Demonstrating strong planning and organisational abilities › Displaying strong interpersonal, communication and problem-solving skills, with a ‘can

do’ attitude › Providing solutions to problems or perceived limitations

To apply for any vacancies at the JFSC, submit an application form along with your CV to careers@jerseyfsc.org

Are you suitable for this role?

This role would suit an individual with an interest in learning more about the role of the JFSC as the Island’s financial services regulator and financial crime supervisor. Strong interpersonal skills with the ability to work well in a team but also take the initiative to explore more efficient approaches and ways of working. An understanding of the importance of data and how that enhances our output would be an advantage.

Experience of working in the financial services industry or for a public authority is not essential, however, an understanding of the key functions and guiding principles of the JFSC would be desirable.

Motivation for continuous learning and development, a flexible approach, and an aptitude for responding positively when dealing with challenges are required.

Why us?

Working in the JFSC will enable you to join a team of people who have purpose, passion, and pride. It offers the opportunity to work alongside people, who are passionate about maintaining Jersey’s position as a leading international finance centre with high regulatory standards. This clarity of purpose is incredibly motivating and we leverage our core values of: excellence, professionalism, respect, integrity, and teamwork to deliver our work. Our people are proud of their work and their contribution to Jersey. If you are looking to make a difference, have a unique working experience and contribute to a bigger picture, then think JFSC; a diverse team of people who put their hearts and minds into what they do and have some fun along the way!

About us

The Jersey Financial Services Commission (JFSC) is responsible for regulating, developing and supervising Jersey‘s financial services industry. We aim to deliver balanced, progressive and risk-based financial regulation built on insight, integrity and expertise. 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 Finance Centre.

Division: Supervision

The Supervision division's primary function is to oversee the financial services industry to ensure relevant legal obligations and regulatory requirements are met. As part of this we continually assess whether existing or emerging risks, to which Jersey is exposed, are being effectively managed.

Team: Relationship Managed Supervision – Banking, Insurance and Consumer Credit

The Banking, Insurance and Consumer Credit Supervision team work directly with entities, using a risk-based approach, to ensure risks are identified, mitigated and managed through regular interactions with the Banking, Insurance businesses and Lenders it supervises. The team assess regulatory risk and engage firms to understand the sectors, and through working with colleagues, take appropriate steps and action as required.

Role: Senior Supervisor, Relationship Managed Supervision: Permanent/Full time

Leading a team of Supervisors, you’ll be responsible for helping businesses comply with the regulatory framework and to effectively demonstrate achievement of the JFSC’s objectives, ensuring Jersey is a well-regulated International Finance Centre. You will contribute to delivering the following outcomes:

Job Profile: Senior Supervisor, Relationship Managed Supervision, Banking, Insurance and Consumer Credit

To apply for any vacancies at the JFSC, submit an application form along with your CV to careers@jerseyfsc.org

› Line management of a team to effectively execute the supervision of entities in line with the agreed risk-based approach, centred on risk mitigation, and in line with regulatory requirements.

› Actively engage with Senior Executives in the firms you or your team supervise to understand their business plans, regulatory issues and risks;

› Effectively building a strong network of internal stakeholders across Supervision and the wider JFSC to ensure appropriate execution of regulatory responsibilities;

› Using the risk model when identifying escalating levels of risk, implementing a mitigation strategy and demonstrating you have applied appropriate follow up actions.

› Activities are completed in line with agreed processes, SLA’s and KPI’s for quality, timeliness, and efficiency.

› Delivery high quality risk data analysis, which supports the building of our insight into sector trends and improves business integrity.

› Actively support the Senior Manager by deputising in internal and external matters. › Develop, lead and manage a team of high performing Supervisors through:

› Coaching and developing colleagues within the team to ensure the development of the right expertise within JFSC in relation to supervision and the wider JFSC. › Performance management of team members to ensure a consistently high standard of output is acheived and maintained.

› Active involvement in identifying, recommending, and implementing continuous improvements to internal working practices and procedures.

You will add value to the organisation by:

Contributing to the JFSC’s mission to maintain Jersey’s position as a leading International Finance

Centre with high regulatory standards supporting its role in combatting financial crime as part of the

wider international effort.

Applying a risk-based approach to supervising firms across the Banking Insurance business and lending

sectors, reviewing and assessing the effective and appropriate management and mitigation of risks.

Supporting the JFSC in expanding its understanding of existing and emerging risks.

Supporting the wider team by deputising for Senior Managers as required.

What will success in this role look like? Delivery of effective and appropriate supervision in conjunction with the Supervisors of entities across the banking, Insurance and Lending sector to ensure the mitigation of regulatory risks. Delivery of supervision effectiveness and facilitating business integrity. Delivery of a strong level of competency amongst the JFSC staff through sharing best practice and regular coaching of our regulatory responsibilities.

Are you suitable for this role?

This role would suit an individual with strong communication skills. Having an in-depth knowledge of relevant financial services and products with a well-developed understanding of the Jersey and International regulatory standards. Motivation for continuous learning and development, a flexible approach and an aptitude for team working are key requisites for the role.

To apply for any vacancies at the JFSC, submit an application form along with your CV to careers@jerseyfsc.org

Why us?

Working at the JFSC means engaging with people of Purpose, Passion and Pride. It offers the opportunity to work alongside people who are passionate about maintaining Jersey’s position as an International Finance Centre and making the island a preferred destination of choice for people, family and business. To deliver this we leverage our core values: Excellence, Professionalism, Respect, Integrity and Teamwork. If you are looking to make a difference and contribute to a larger picture, think JFSC! A diverse team of people who put their hearts and minds into what they do.

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

Quality Assurance Manager - Risk We are seeking a dedicated Quality Assurance Manager to join our Risk and Compliance team, focusing on Financial Crime Risk Management. This role is pivotal in ensuring our firm’s compliance with applicable legislation by undertaking quality assurance activities on first line Customer Due Diligence (CDD) processes. The successful candidate will be responsible for identifying, assessing, and mitigating risks within the customer portfolio, supporting the Programme Manager and Subject Matter Experts in their day-to-day work on CDD and Enhanced Due Diligence (EDD) reviews.

Key Accountabilities

• Conduct CDD quality assurance checks on clients, covering money laundering, terrorism, and sanctions compliance.

• Ensure all required CDD documents are correctly identified and collated by analysts.

• Oversee appropriate CDD collation, adherence to procedures, and alignment with the handbook at all times.

• Engage with colleagues and support their activities with customers to provide CDD information and documentation within service levels.

• Ensure compliance with relevant government regulations and internal guidelines and policies.

• Identify errors and shortcomings, providing coaching and feedback to raise standards.

• Manage personal workloads to ensure cases are dealt with in a timely manner.

• Perform other tasks as directed by team management.

Essential Requirements

Qualifications:

• Educated to A-Level standard or equivalent experience.

• Minimum of 3-5 years of Corporate CDD specific experience.

• Professional qualification for this role (e.g., ICA Advanced Certificate/Diploma or equivalent) would be a bonus.

• Familiarity with the principles of High Risk and Enhanced Due Diligence in a corporate environment.

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

• Hands-on experience conducting and reviewing CDD for a range of corporate clients.

• Experience working with complex corporate structures.

• Experience with the end-to-end CDD process for corporate 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

Compliance Analyst We are seeking a Compliance Analyst to support the Money Laundering Compliance Officer (MLCO) and deputy MLCO in maintaining the integrity of the firm’s financial crime compliance framework. This role is integral to the effective execution of the Compliance Monitoring Programme (CMP), responding to CDD-related queries, maintaining compliance registers, and supporting regulatory reporting and data collection for internal and the JFSC risk data collections.

Key Responsibilities

Compliance Monitoring & CMP Support

• Assist in the delivery of the Compliance Monitoring Programme (CMP) testing.

• Assist to ensuring policies reflect current legal, regulatory, and industry best practices.

• Support the MLCO or deputy in follow-up and tracking of remediation actions from monitoring reviews.

Customer Due Diligence (CDD) / Know Your Customer (KYC) Queries & Advisory

• Respond to internal queries on CDD requirements as per the Policy Procedure and Control Manual (PPCM), documentation standards, and enhanced due diligence (EDD) procedures.

• Provide practical guidance to front-line staff and business units on onboarding and ongoing monitoring requirements.

• Escalate high-risk or complex cases to the MLCO/DMLCO as appropriate.

Sanctions & PEP Screening

• Screening clients against sanctions lists (UK, OFAC, UN, etc.) and PEP databases.

• Investigating potential matches and escalating true hits.

• Maintaining a sanctions escalation and approval process.

Registers Management

• Maintain and regularly update compliance registers including: - Breach & incident register; - Complaints register; - PEPs and high-risk customers; and - Conflicts of interest.

• Ensure accuracy, completeness, and auditability of register entries.

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

MI Reporting & Data Analysis

• Assist in compiling monthly and quarterly Management Information (MI) reports for senior management, committees, and the partnership/board as required.

• Contribute to thematic data analysis, trend identification, and risk-based reporting.

• Support the MLCO in preparing regulatory responses and internal reporting packs.

NRA & Regulatory Support

• Collate and maintain relevant data to support inputs into Jersey data risk collections.

• Coordinate with internal teams to gather required compliance and financial crime data sets.

• Assist in responding to regulator data requests and surveys as directed by the MLCO.

Data Protection Support Assist the Data Protection Information Officer as required, this may include:-

• Maintain registers related to data protection, such as the data breach log and third- party data processing agreements.

• Assist with staff awareness initiatives, including data protection training and internal communications.

Undertake any other compliance-related duties as required from time to time, including participation in projects, regulatory inspections, audits, or other activities to support the MLCO, MLRO, Data Information Officer, or wider compliance team.

Skills, Knowledge and Expertise

ESSENTIAL:

• A minimum of Grade C/5 in English and Maths GCSE level or equivalent.

• Interest in AML/CFT/CPF Compliance.

DESIRABLE:

• ICA Certificate or equivalent AML/compliance qualification (or working toward it).

• Experience in a regulated sector such as financial services, fiduciary, or trust administration.

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

SKILLS & EXPERIENCE:

• 2-4 years of experience in a compliance, AML, financial crime role or a front office role.

• Familiarity with AML/CFT/CPF regulations, customer due diligence standards, and compliance monitoring.

• Experience supporting a Compliance or MLRO/MLCO function is advantageous.

• Strong attention to detail and accuracy.

• Confident communicator, able to provide clear guidance to internal stakeholders.

• Strong Excel and reporting skills; experience working with compliance tools/systems is a plus.

• Proactive and well-organised, with the ability to manage competing deadlines.

• High level of integrity and professional discretion.

About Collas Crill

We're not the biggest firm, but our aim is to be the best. Best for clients, best for staff and best for the communities in which we operate. And we don't just want to be a great law firm, we want to be a great firm by any standards. We encourage and support our people to get involved with charity work, community events and letting their hair down, because whilst we know there's more to life than work, we also know that achieving a good balance benefits everyone: our clients, our communities, our staff and their families. We're always growing - which means we're always on the lookout for motivated, talented individuals who want to further their career in a forward-thinking and supportive environment.

JOB DESCRIPTION

JOB TITLE Senior Analyst - Compliance & Risk JOB LEVEL C1

DEPARTMENT Compliance & Risk

REPORTING TO Associate Director – Compliance & Risk / Head of Compliance & Risk

JURISDICTION Jersey

OAK SUMMARY Oak 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, and the Isle of Man. Our clients range across high-net-worth individuals, families, corporate institutions and asset managers. Oak employs over 220 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. Oak has a new ownership structure whereby it will be owned by a standalone company, Opera. The majority shareholder is Stephen Lansdown, co-founder of Hargreaves Lansdown, the U.K.’s largest stock broking firm and a member of the FTSE 100. Oak 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. Oak is committed to this exciting journey. JOB SUMMARY This is a critical role within Oak’s Compliance & Risk function, supporting the effective delivery of Jersey’s legal and regulatory obligations and ensuring that Oak’s internal standards, including systems and controls are met. As a Senior Analyst, your focus will be to support senior Compliance & Risk team members, including those who hold Key Person positions for Oak. You will contribute actively to the Compliance Monitoring Programme, support maintenance of systems and controls, and provide AML, Conduct, and Prudential regulatory support across Oak’s operations. KEY RESPONSIBILITES Compliance Monitoring Programme (CMP)

• Assist in the design, execution, and reporting of the annual CMP for Oak Jersey. • Conduct Oak CMP testing across all key risk areas. • Document findings, follow up on remedial actions, and escalate material deficiencies to the

Compliance Officer and/or the Money Laundering Compliance Officer. • Where necessary, assist with the annual CMP testing for Oak Jersey’ regulated and supervised client

entities. Key Person Role Support

• Support Key Persons in fulfilling CO, MLCO, and MLRO responsibilities.

JOB DESCRIPTION

• Contribute to the compilation of quarterly Board reports and bi-monthly Risk & Compliance

Committee reports. • Assist in the coordination of the collation of documentation in advance of regulatory inspections or

Key Person sign-off. Systems & Controls

• Support the MLCO and CO with implementation and review of Oak’s compliance systems and internal controls.

• Where requested, contribute to the Operational and AML/CFT/CPF Business Risk Assessments. • Assist in the completion of compliance attestations relating to adequate insurance, client money

handling, and board governance assessments. • Provide data and support for ad-hoc JFSC data collection exercises.

General Compliance Support

• Assist in the completion of daily compliance operations including screening and CDD escalations, and risk triggers.

• Review and update Compliance Registers, liaising with client teams to resolve discrepancies. • Support the periodic review and maintenance of Oak’s Policies and Procedures Manual, with a focus

on AML/CFT and Conduct standards. • Attend and minute internal Risk & Compliance Committee meetings as required.

KEY COMPETENCIES & SKILLS

• Preferably a minimum of 3 years’ experience in Compliance, or relevant experience within fiduciary/funds environments.

• Actively studying or planning to study towards a recognised compliance qualification (e.g. ICA). • Sound understanding of Jersey’s AML/CFT/CPF regime and regulatory environment, including JFSC

Codes of Practice. • Knowledge of fund, corporate and trust structures. • Strong organisational, time management, and prioritisation skills. • Strong interpersonal and communication skills, both verbal and written. • Familiarity with compliance tools and databases, preferred but not essential.

Behavioural Expectations: The Oak8 Values You are expected to consistently demonstrate the following values in your work and interactions:

Client Focus – Proactively consider client impact in all decisions. Excellence in Execution – Deliver timely and high-quality output with attention to detail. Integrity – Adhere to the highest ethical standards in compliance and business conduct. Innovation – Support improvements to compliance processes and risk frameworks. Value – Strive to deliver measurable benefits to Oak and its clients. Development – Embrace continuous learning and support team knowledge growth. Leadership – Take initiative and support a compliance culture across the business. Respect – Demonstrate professionalism and respect in all working

relationships.

JOB DESCRIPTION

Employee Signature:_____________________________________ Date:_____________________ Employee Name: ________________________________________

KEY BUSINESS PARTNERS Key Business Partners

• Client Compliance Team • Statutory Compliance & CDD Team • Private Client, Corporate & Funds Teams • Client Accounting Team & Internal Finance • Board of Directors • Oak Group Offices (cross-jurisdictional) • External auditors, banks, and regulatory bodies (e.g. JFSC, FIU)

Client Teams Client Accounting Team Various banks Investment establishments External business partners connected to the client portfolio JFCU, 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 client managed entities

Group Chief Risk & Compliance Officer

JOB DESCRIPTION

JOB TITLE Assistant Manager- Client Compliance JOB LEVEL B3

DEPARTMENT Compliance & Risk

REPORTING TO Senior Manager – Client Compliance / Associate Director – Client Compliance

JURISDICTION Jersey

OAK SUMMARY Oak 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, and the Isle of Man. Our clients range across high-net-worth individuals, families, corporate institutions and asset managers. Oak employs over 220 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. Oak has a new ownership structure whereby it will be owned by a standalone company, Opera. The majority shareholder is Stephen Lansdown, co-founder of Hargreaves Lansdown, the U.K.’s largest stock broking firm and a member of the FTSE 100. Oak 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. Oak is committed to this exciting journey. JOB SUMMARY This role has been intentionally structured as a developmental opportunity, providing the stretch and scope needed to prepare for a future Manager position. The role sits at the intersection of operational delivery and regulatory compliance, offering a platform for growth in fiduciary management, client relationship handling, and deep exposure to the AMLSP (Anti-Money Laundering Services Provider) regime and client compliance frameworks. You will support the Senior Manager in overseeing a portfolio of private wealth, corporate and fund structures, leading client service delivery while building technical expertise and commercial awareness in line with Oak Group’s values. Your development shall include the responsibility of holding Key Person roles for some of Oak’s client entities subject to supervision under the Schedule 2 / AMLSP regime, as AMLSP MLRO and AMLSP MLCO, with these positions enabling experience to be gained with a view to holding Key Person roles for fully regulated client entities in due course.

JOB DESCRIPTION

KEY RESPONSIBILITES Operational Support & Service Delivery

• Provide compliance support for the day-to-day administration and management of a portfolio of regulated and/or supervised structures.

• Review and oversee work performed by compliance administrators, ensuring accuracy, timeliness, and compliance with internal standards and client expectations.

• Liaise with clients, intermediaries, and colleagues to respond to queries, coordinate meetings, and deliver professional service with consistency.

AMLSP Regime Integration

• Act as a key point of contact for matters relating to the Anti-Money Laundering Services Provider (AMLSP) regime within your portfolio.

• Assist with the onboarding and periodic review processes in accordance with AMLSP requirements, including enhanced due diligence for customers and investors on a risk-based approach.

• Collaborate with the MLRO/MLCO and wider compliance team to escalate concerns, interpret guidance, and maintain up-to-date knowledge of relevant regulatory changes.

Client Compliance Oversight

• Proactively monitor and manage financial crime prevention and compliance obligations across supervised client entities.

• Ensure accurate maintenance of statutory records, including filings with relevant registries and updates to internal systems.

• Assist in delivering client risk assessments, business risk assessments and compliance monitoring programmes, escalating red flags or concerns appropriately.

People Development & Team Collaboration

• Mentor junior team members and providing day-to-day guidance to promote a culture of learning and compliance excellence.

• Deputise for the Senior Manager or Associate Director where required in internal meetings or client communications.

• Engage in departmental initiatives aimed at improving processes, regulatory adherence, and client service standards.

KEY COMPETENCIES & SKILLS

• Minimum of 5 years’ experience in Compliance, or relevant experience within fiduciary/funds environments.

• To hold or be actively studying towards a recognised compliance qualification (e.g. ICA). • Sound understanding of Jersey’s AML/CFT/CPF regime and regulatory environment, including JFSC

Codes of Practice.

JOB DESCRIPTION

Employee Signature:_____________________________________ Date:_____________________ Employee Name: ________________________________________

• Have an awareness surrounding roles and responsibilities of the holding of Key Person roles in regulated and supervised entities, ideally in a multi-entity environment including managed trust companies and MoME arrangements.

• Ability to effectively manage supervised relationships and prepare entity-specific risk assessments and compliance deliverables.

• Strong organisational, time management, and prioritisation skills. • Strong interpersonal and communication skills, both verbal and written. • Familiarity with compliance tools and databases.

KEY BUSINESS PARTNERS

• Oak Compliance Team • Statutory Compliance & CDD Team • Private Client, Corporate & Funds Teams • Client Accounting Team & Internal Finance • Board of Directors • Oak Group Offices (cross-jurisdictional) • External auditors, banks, and regulatory bodies (e.g. JFSC, FIU)

Behavioural Expectations: The Oak8 Values You are expected to consistently demonstrate the following values in your work and interactions:

Client Focus – Proactively consider client impact in all decisions. Excellence in Execution – Deliver timely and high-quality output with attention to detail. Integrity – Adhere to the highest ethical standards in compliance and business conduct. Innovation – Support improvements to compliance processes and risk frameworks. Value – Strive to deliver measurable benefits to Oak and its clients. Development – Embrace continuous learning and support team knowledge growth. Leadership – Take initiative and support a compliance culture across the business. Respect – Demonstrate professionalism and respect in all working relationships.

JOB DESCRIPTION

JOB TITLE Associate Director- Client Compliance JOB LEVEL B3

DEPARTMENT Compliance & Risk

REPORTING TO Senior Manager – Client Compliance / Associate Director – Client Compliance

JURISDICTION Jersey

OAK SUMMARY Oak 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, and the Isle of Man. Our clients range across high-net-worth individuals, families, corporate institutions and asset managers. Oak employs over 220 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. Oak has a new ownership structure whereby it will be owned by a standalone company, Opera. The majority shareholder is Stephen Lansdown, co-founder of Hargreaves Lansdown, the U.K.’s largest stock broking firm and a member of the FTSE 100. Oak 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. Oak is committed to this exciting journey. Job Summary This role holds significant responsibility for the prevention, detection, and reporting of financial crime risks across Oak Jersey’s regulated and supervised client structures. As Associate Director – Compliance, you will ensure that the compliance and financial crime prevention controls for Oak Jersey’s regulated and supervised client structures, meets all applicable legal, regulatory, and internal standards. You will hold Key Person roles (CO, MLCO, MLRO) for regulated and/or supervised client entities and play a pivotal leadership role in the oversight of client compliance matters, specifically across a range of entity types such as managed trust companies and managed fund entities, regulated funds, and Jersey Private Funds (JPFs). This includes advising stakeholders on regulatory expectations, coordinating compliance programmes, and supporting ongoing engagement with the Jersey Financial Services Commission (JFSC). KEY RESPONSIBILITES

• To serve as Compliance Officer (CO), Money Laundering Compliance Officer (MLCO), and Money Laundering Reporting Officer (MLRO) for regulated and/or supervised client entities.

• Familiarisation and keeping up to date with the Financial Services (Jersey) Law 1998, 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.

JOB DESCRIPTION

Client Entity Money Laundering Compliance Officer (MLCO)

• Review, advise and update on AML/CFT/CPF Strategies 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 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.

• Assist where necessary with investor onboarding and CDD/ECDD, screening and review. • Updating, monitoring and maintenance of relevant Compliance Registers. • 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 (MLRO)

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

• 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. Client Entity Compliance Officer (CO)

• 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. Strategic Contribution

• Champion the development of a robust client compliance framework. • Provide compliance leadership and insight to business development teams assessing the feasibility of

accepting new regulated or complex client structures. • Support Group Compliance in maintaining consistent standards across managed entities and ensure

Jersey-specific expectations are met. Line Management

• Lead, guide and develop members of the Client Compliance Team in accordance with Oak’s People Management Framework.

• Promote a continuous learning culture and a high-performance mindset across the compliance function.

JOB DESCRIPTION

KEY COMPETENCIES & SKILLS

• Minimum of 10 years’ experience in Compliance, or relevant experience within fiduciary/funds environments.

• To hold or be actively studying towards a recognised compliance qualification (e.g. ICA). • Sound understanding of Jersey’s AML/CFT/CPF regime and regulatory environment, including JFSC

Codes of Practice. • Experience in the holding of Key Person roles in regulated and supervised entities, ideally in a multi-

entity environment including managed trust companies and MoME arrangements. • Ability to effectively manage regulatory relationships and prepare entity-specific risk assessments and

compliance deliverables. • Strong organisational, time management, and prioritisation skills. • Strong interpersonal and communication skills, both verbal and written. • Familiarity with compliance tools and databases.

KEY BUSINESS PARTNERS

• Oak Compliance Team • Statutory Compliance & CDD Team • Private Client, Corporate & Funds Teams • Client Accounting Team & Internal Finance • Board of Directors • Oak Group Offices (cross-jurisdictional) • External auditors, banks, and regulatory bodies (e.g. JFSC, FIU)

Behavioural Expectations: The Oak8 Values

• You are expected to consistently demonstrate the following values in your work and interactions: • • Client Focus – Proactively consider client impact in all decisions. • Excellence in Execution – Deliver timely and high-quality output with attention to detail. • Integrity – Adhere to the highest ethical standards in compliance and business conduct. • Innovation – Support improvements to compliance processes and risk frameworks. • Value – Strive to deliver measurable benefits to Oak and its clients. • Development – Embrace continuous learning and support team knowledge growth. • Leadership – Take initiative and support a compliance culture across the business. • Respect – Demonstrate professionalism and respect in all working relationships.

JOB DESCRIPTION

Employee Signature:_____________________________________ Date:_____________________ Employee Name: ________________________________________

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

Head of Compliance

Collas Crill Trust Jersey

We have an excellent opportunity for an experienced Compliance professional to oversee the Compliance function of Collas Crill's Jersey trust and corporate services business ("TCS"), thereby supporting the Group Head of Risk & Compliance in ensuring that all Collas Crill entities are serviced by a knowledgeable, practical and agile global Compliance team.

The role holder will also act as CO/MLRO/MLCO for Collas Crill Trust Jersey ("CCTJ").

Key Responsibilities • To oversee sanctions screening for CCTJ; • To recommend amendments to systems and controls where necessary; • To monitor legislative and regulatory changes and to effect changes as

necessary; • To provide Management Information to the Group Head of Risk & Compliance

and to jurisdictional firms as required; • To report to the Board of CCTJ and Group Head of Risk & Compliance on a

regular basis; • To assist the Group Head of Risk & Compliance in formulating, enacting,

monitoring and training on Group-wide and TCS specific policies and procedures;

• To prepare and provide training on Compliance related subjects; • To act as line-manager to TCS members of the Compliance team; • Providing timely, pragmatic advice to the CCTJ directors and staff on all

aspects of regulatory and financial crime compliance; • To act as the jurisdictional Compliance lead for CCTJ, assuming the roles of

Compliance Officer, MLRO and MLCO; • To act as Deputy to the Head of Compliance, Jersey Legal and provide advice,

guidance and support to the law firm, as necessary; • Ensuring appropriate monitoring of operational performance and managing

regulatory and compliance risk for CCTJ which includes: 1. Monitoring that the internal policies and procedures are being consistently

and effectively adhered to and reporting the same to the Board along with any issues and recommendations;

2. Assessing and testing the effectiveness of internal systems and controls to ensure they facilitate compliance with the regulatory framework and making recommendations to the Board for enhancements; and

3. Where appropriate, promptly instigating action to remedy any deficiencies in the robust arrangements;

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

4. Providing senior management and the board of directors with regular written reports in respect of CCTJ’s compliance with the requirements of the FS(J)L, Orders (issued under the FS(J)L) and the Code;

5. Acting as the principal point of contact with the JFSC on day-to day regulatory matters;

6. Acting as the principal point of contact with the FIU on financial crime matters; 7. Establishing an industry specific training and awareness programme for all

employees of CCTJ; and 8. Ongoing monitoring and testing of the effectiveness of relevant anti-Financial

Crime training. Skills, Knowledge and Expertise • In possession of or studying for a relevant professional qualification (e.g. ICA /

ACAMS). • Compliance experience, minimum five years. • Efficient and well organised. • Credible and assertive manner. • Discretion, tact and resilience. • Professional manner with the ability to influence and persuade. • A confident user of IT systems. • Excellent written and spoken English.

About Collas Crill

We're not the biggest firm, but our aim is to be the best. Best for clients, best for staff and best for the communities in which we operate. And we don't just want to be a great law firm, we want to be a great firm by any standards. We encourage and support our people to get involved with charity work, community events and letting their hair down, because whilst we know there's more to life than work, we also know that achieving a good balance benefits everyone: our clients, our communities, our staff and their families. We're always growing - which means we're always on the lookout for motivated, talented individuals who want to further their career in a forward-thinking and supportive environment.