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

Assistant Manager - Periodic Review Unit

Our open and progressive work environment is something to shout about and we are looking for an Assistant Manager to join our Periodic Review team and be part of the conversation. Reporting into the Periodic Review Unit Manager, you will be responsible for ensuring that business is monitored and undertaken in accordance with Ogier Global's policies and procedures, and that relevant AML/CFT risks have been properly assessed, documented and reviewed in accordance with the periodic review process.

This role is required to support the wider Regulatory Operations Team, to help ensure that Ogier employees abide by their regulatory obligations and conform to industry best practices and professional standards.

Key Responsibilities

• Perform the periodic review process in line with a risk based approach and in line with set targets

• Review Ogier Global's client files and ensure that the associated AML/CFT and business risks have been appropriately identified, assessed and documented

• Where client files are not in line with internal policies and procedures, liaise with the Business to advise on the level of information required, liaising with the relevant Services Line Head and set appropriate actions

• Facilitate the management and completion by Service Lines of action points as identified through the periodic review process

• Where necessary, provide support and guidance to the business lines to combat any issues identified

• Provide guidance to senior management to ensure AML/CFT and fiduciary risks posed by the client base to Ogier Global are appropriately and adequately identified and managed

• Provide regular reporting with respect to the adherence by the Business to Ogier Global's policies and procedures

• Encourage strong collaboration internally, including with the Ogier Global's jurisdictional offices with regular dialogue to ensure opportunities or challenges are identified and acted upon in a timely fashion

• Utilise influencing skills and experience to ensure adherence to process and procedures and implement change

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

• Contribute towards the business as a whole in identifying process improvements, improvements in policies and procedures and any other service innovation changes that improve the client experience

• Any other tasks as required by management from time to time

Skills, Knowledge and Expertise

• At least 5 years relevant experience in the Financial Services Sector, preferably with a Corporate Services Provider in a similar role

• Industry recognised fiduciary, compliance, KYC or risk qualification

• Excellent knowledge of Cayman/ Hong Kong/ BVI/ Jersey/Guernsey/Luxembourg regulatory and legal requirements with respect to client monitoring and risk management

• Strong commercial understanding of the service offerings of Ogier Global with the ability to apply understanding to reviews undertaken

• Ability to make decisions and use initiative within the scope of regulatory requirements, policies and procedures

• Ability to build strong relationships with key stakeholders and influence accordingly

• Be self-motivated and able to work in a demanding, pressured environment

• Excellent interpersonal skills and a proven ability to work effectively as part of a team

• Excellent verbal and written communication skills

• Good analytical and organisational skills, ability to prioritise work load and meet tight deadlines

• Excellent IT skills, including Microsoft Outlook, Excel, Word, Viewpoint and Share Point

About Ogier

Ogier provides legal advice on BVI, Cayman, Guernsey, Irish, Jersey and Luxembourg law. Our network of locations also includes Beijing, Dubai, Hong Kong, London, Shanghai, Singapore and Tokyo.

Legal services for the corporate and financial sectors form the core of our business, principally in the areas of banking and finance, corporate, investment funds, dispute resolution, private equity and private wealth. We also have strong practices in the areas of employee benefits and incentives, employment law, regulatory, restructuring and insolvency and property.

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

Ogier's corporate administration business, Ogier Global, incorporates and administers a wide variety of vehicles including public and private companies, partnerships and trusts.

Ogier is based in 13 jurisdictions including Beijing, BVI, Cayman Islands, Dubai, Guernsey, Hong Kong, Ireland, Jersey, London, Luxembourg, Shanghai, Singapore and Tokyo.

Role Profile

About us

The Jersey Financial Services Commission (JFSC) supervises the island's financial services industry for anti-money laundering (AML), countering of the financing of terrorism (CFT) and countering proliferation financing (CPF) purposes. In addition, we also supervise the financial services industry for conduct and prudential purposes. The JFSC is one of the few regulators globally to benefit from the regulator and entity registries operating under a single financial services commission.

Team: Intelligence Unit

The Intelligence Unit proactively gathers, researches, corroborates (where required) and evaluates information from a wide range of sources at their disposal to hypothesize potential regulatory issues and the identification of regulatory failings. We prepare and deliver the resulting intelligence to both internal and external stakeholders to inform risk-based supervision on AML/CFT/CPF, conduct and prudential matters. The Intelligence Unit seeks to establish successful stakeholder relationships with both domestic and international authorities. We are responsible for the handling of whistleblowers and ensuring they are treated confidentially and that their identity is always protected.

Role: Trainee Intelligence Analyst (35 Hours per week/Permanent)

The successful candidate will assist the Intelligence Unit in proactively gathering, building upon and disseminating intelligence to internal and external stakeholders, to assist in their regulatory oversight function. 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 assist the Intelligence Unit to deliver the following outcomes:

⚫ Active participation in collaborating with international regulators and agencies, ensuring

adherence to statutory requirements on disclosure of information during enforcement inquiries,

investigations, and disciplinary proceedings.

⚫ Appropriate dissemination of Intelligence Sharing both locally and internationally.

Trainee Intelligence Analyst, Intelligence Unit

⚫ Build and enhance the intelligence provided to the Unit by conducting proactive searches such as

open-source media to increase the value of the intelligence. Assist in management, review,

grading, and sanitising of intelligence sources appropriate for impactful utilisation by the

commission.

⚫ Demonstrate meticulous handling of confidential and restricted information and intelligence in

line with internal protocols. Displaying discretion at all times.

⚫ Meet the individual reporting obligations applicable to all individuals under the Sanctions and

Assets Freezing (Jersey) Law 2019.

⚫ Meet the individual reporting obligations to all individuals under the Proceeds of Crime (jersey)

Law 1999, specifically in relation to the reporting any suspicion of Money Laundering or Terrorist

Financing relating to any business conducted in Jersey.

You will add value to the organisation by:

Disseminating valuable intelligence in a timely manner internally allowing the JFSC to undertake risk- based supervision in AML/CFT/PF and conduct and prudential matters. And to proactively disseminate any valuable intelligence to international regulatory bodies to support in their own regulatory functions. This supports the JFSC in demonstrating it is effectively delivering its statutory regulatory objectives or guiding principles and its strategic goals. What will success in this role look like? You will work closely with other members of the Intelligence unit to interact with multiple stakeholders both within the JFSC and externally, to disseminate valuable intelligence to support the JFSC and other regulatory bodies perform their regulatory oversight functions.

Are you suitable for this role?

The successful candidate will have an inquisitive and enquiring mind with good analytical, decision- making and report writing skills. Attention to detail is required with good interpersonal skills to liaise with both internal and external stakeholders. The candidate should have: ⚫ A good understanding of the role of the Jersey Financial Services Commission.

⚫ Committed to acquiring the necessary skills and knowledge required to develop their skillset and

progress to an Intelligence Analyst role.

⚫ Some experience or knowledge of financial services or a regulatory or a compliance environment.

⚫ Be able to work independently as well as part of a team.

The skills and attributes of most importance in this role are:

• Strong communication skills.

⚫ Ability to analyse information/intelligence, be able to form a picture of what that

information/intelligence is telling you and make decisions based on your findings.

⚫ Report writing skills

⚫ High level of drive, energy and personal commitment.

Why us?

Working in the JFSC will enable you to join a team 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 on our 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!

Senior Compliance Administrator (Jersey)

Principal Responsibilities

 Assist with the review of potential new clients, including reviewing new business take-on forms, client due diligence profiles, risk assessments, client identification documents and other documentation as appropriate;

 Analyse and process compliance related forms;

 Assist with the maintenance of compliance files, registers, monitoring spreadsheets and/or databases;

 Attend internal / relevant meetings, as required;

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

 Consider or suggest ways of improving internal procedures and practices encountered whilst performing principal responsibilities and assist with their implementation;

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

 Assist employees with queries that may arise on regulatory, AML/CFT/CPF and regulatory matters;

 To champion a compliance culture within the Fairway Group;

 Provide cover for other compliance members of sta , during periods of absence; and

 Assist with or carry out any other projects as requested from time to time, as appropriate.

General Responsibilities

 Develop and maintain good relations with sta members;

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

 Maintain the highest standards of confidentiality and security in terms of client a airs and records;

 Complete daily timesheets;

 Monitor performance against personal and developmental targets;

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

 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.

IT Skills

The role will involve intermediate to advanced experience of:

 Microsoft O ice – mainly Word, Excel and Outlook;

 General client database and CRM software;

 Google and/or other Internet search engines; and

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

Competencies

 Possess a relevant professional compliance qualification;

 Minimum of 5 years’ financial services industry experience in a Trust, Funds and Company compliance environment;

 Have a good understanding of anti-money laundering and client due diligence requirements for

 a financial service business and its Clients;

 Be methodical and have excellent attention to detail;

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

 Have good organisational skills and be able to organise their time e ectively; and

 Be a team player and confident in dealings with others.

Compliance Monitoring Administrator (Jersey)

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 sta members;

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

 Maintain the highest standards of confidentiality and security in terms of client a airs and records;

 Monitor performance against personal and developmental targets;

 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 or be willing to study;

 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 O ice – mainly Word, Excel and Outlook; and

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

Job Description: Head of Compliance March 2024

Job Description

Job Title:

Head of Compliance

Reports To:

Board of Directors of Alex Picot Trust Company Ltd

Department:

Compliance

This role falls within the scope of the Jersey Financial Services Commission’s definition of “Senior Management Function”. Purpose:

The Head of Compliance will work with the Board of Directors and will act as a proactive leader of the Compliance Team of Alex Picot Trust (the “Company”) to ensure that all services provided by the Company meet the legal and Jersey Financial Services Commission’s regulatory requirements for Trust Company Business (TCB) through compliance with all relevant legislation, including the TCB Code of Practice, the AML/CFT/CPF Handbook and the internal policies and procedures manuals of the Company.

The Head of Compliance is responsible for monitoring all legal, regulatory and industry changes and emerging themes which impact the business of the Company and working to support the Board to ensure that these changes are reflected in the Business Risk Assessment (BRA) of the Company and its policies and procedures on a timely basis.

The Head of Compliance will hold the 3 key person roles, although it is envisaged that the role of Money Laundering Compliance Officer will be filled by another employee once relevant experience and qualifications have been gained.

Responsibilities of the job holder: Money Laundering Reporting Officer (MLRO)

• Take on Key Person role as the MLRO of the affiliate leader (the Company) and all affiliated

entities. • Ensuring the suspicion activity reporting (SAR) framework in place within the business remains

robust • Maintaining adequate policies and procedures ensuring they are accessible and fully

understood by the business • Receive, acknowledge and consider internal Suspicious Activity Reports (SARs) submitted by

employees of the Company in a timely manner. • Documenting all enquiries made in relation to each SAR and documenting the basis for

reporting to the FIU or the decision not to make such report • Ensuring where appropriate that all relevant information or other matter leading to

knowledge or suspicion, or reasonable grounds for knowledge or suspicion of money laundering, is properly disclosed to the FIU.

Job Description: Head of Compliance March 2024

• Securely maintaining adequate records relating to all internal and external SARs. • Managing relationships effectively post disclosure to avoid tipping off any external parties. • Ensuring appropriate levels of communication are maintained with the Boards • Providing support to and routinely monitoring the performance of the Deputy MLRO(s) to

ensure that SARS are being handled in an appropriate and consistent manner. • Overseeing decision made by the Deputy MLRO, as appropriate • Report to the Board of Directors on a quarterly basis as part of the Board Compliance meeting,

preparing reports and summaries as appropriate. • Continuously develop knowledge of all AML/CFT/CPF, Sanctions and general compliance

updates relevant to the role of MLRO and applicable to the Company and provide this information to the Board of Directors.

Job Description: Head of Compliance March 2024 Money Laundering Compliance Officer (MLCO)

• Take on Key person role as the MLCO of the affiliate leader (the Company) and all affiliated

entities by the Boards. • Developing, maintaining, and implementing a Financial Crime Compliance framework and

procedures • Assisting the board with it’s AML/CFT/CPF corporate governance responsibilities • Monitoring compliance with the relevant Jersey legislation and regulations relating to

money laundering, the financing of terrorism and proliferation financing. • Assisting the Board with information and advice in developing, maintaining and assessing the

effectiveness of the system and controls, including policy and procedures and training, in line with the relevant requirements.

• Report to the Board of Directors on a quarterly basis as part of the Board Compliance meeting, preparing reports and summaries as appropriate.

• Advise the Board on Jersey legal and regulatory matters in relation to AML/CFT/CPF Compliance issues

• Provide the Board with assistance with the Financial Crime Business Risk Assessment and Financial Crime Strategy

• Ensure training is provided to new employees within 10 working days of commencement of their employment in relation to AML/CFT/CPF, including Sanctions, SARs and Anti-Bribery & Corruption.

• Provide ongoing training to all employees in relation to AML/CFT/CPF, including Sanctions, SARs and Anti-Bribery & Corruption.

• Provide support and assistance to all employees in relation to AML/CFT/CPF matters. • Attend external trainings as required to enhance knowledge and experience in this area. • Respond promptly to requests for information from the regulator or law enforcement agency • Maintain various regulatory registers relating to the AML/CFT/CPF, e.g. PEPs, CDD deficiencies • Oversee AML/CFT/CPF regulatory visits. • Continuously develop knowledge of all AML/CFT/CPF, Sanctions and general compliance

updates relevant to the role of MLCO and applicable to the Company and provide this information to the Board of Directors.

Compliance Officer (CO)

• Take on Key person role as the CO of the affiliate leader (the Company) and all affiliated entities. • To monitor, track and analyse legal & regulatory changes, provide a clear and concise

summary of the impacts on existing polices & procedures • Develop and oversee systems and controls to ensure that all legal guidelines and internal

policies are met. • Develop and agree a compliance monitoring program which meets the business needs, to

monitor internal policies and procedures. and ensure that these are consistently applied and that correct procedures are followed.

• Assist the board to develop and maintain a Compliance Risk Assessment • Provide the Board with assistance with the Financial Crime Business Risk Assessment • Review internal systems and controls, recommending amendments as appropriate. In

addition, the CO will also consider the policies and procedures and make recommendations for amendment to these documents to comply with the regulatory framework.

• Ensure that all registers are maintained in order to meet the compliance requirements of the Company.

• Where appropriate, arrange for steps to be taken to correct any issues with the compliance

Job Description: Head of Compliance March 2024

arrangements to ensure continued compliance with the legal and regulatory framework in place.

• Report to the Board of Directors on a quarterly basis as part of the Board Compliance meeting, preparing reports and summaries as appropriate.

• Act as the principal point of contact for communications with the JFSC in respect of day to day regulatory matters.

• To prepare and development relevant training to employees on regulatory compliance matters

Job Description: Head of Compliance March 2024 General:

• To provide support and advice to the Senior Compliance Manager in relation to the

management of the Compliance Team and work with the Senior Compliance Manager to resolve any issues within the team.

Requirements:

• Experience of Trust services industry or similar regulated business • A good awareness of Jersey local trust and company legislation and practice, including

extensive knowledge of Anti Money Laundering Laws and Orders and the TCB Codes of Practice.

• Excellent attention to detail. • Ability to work effectively both independently and as part of a team. • Strong time management and organisational skills with an ability to meet deadlines.

Personal skills and attributes

It is imperative that the role holder has the correct cultural and behavioural fit for the Company. We work on a one team basis where individuals support one another in their roles and for their personal objectives.

The Head of Compliance position is a key part of ensuring connectivity between the client teams, new business personnel and the board members to ensure that the business operates smoothly, efficiently and in a manner where risks are identified, documented and managed appropriately.

For this to happen the interaction with between the Compliance function and the client teams needs to be a harmonious one. It will be an essential skill for the role holder to develop trust and confidence with all these relevant stakeholders. In addition to this skill set the following role focused attributes are required:

• Methodical and detail oriented. • Proactive and solution focused. • Excellent oral and written communication skills including a heightened ability to develop

rapport with colleagues and to deliver sound advice. • Ability to meet deadlines. • Superior ability to clearly communicate verbally and non-verbally.

Education and Experience

• Strong understanding of relevant local law and regulation. • A minimum of 5 years relevant experience in a financial services business. • A relevant Table 4 professional qualification gained through the ICA or equivalent. • Excellent written communication skills including report and policy/procedure writing.

Data Protection Manager Working within a team and reporting directly to the Director of In House Counsel, this role will support In-House Legal and Information Security on a variety of group related data protection matters. As Ogier's Data Protection Manager you will play a pivotal role in ensuring Ogier's compliance with data protection laws and regulations. You will be responsible for developing, implementing, and maintaining comprehensive data protection strategies that safeguard Ogier's data assets against unauthorised access, disclosure, alteration, or destruction. You will work closely with various stakeholders and internal teams to ensure that data handling practices align with legal standards and internal policies.

Key Responsibilities

 Develop and implement data protection policies and procedures in compliance with relevant data protection laws applicable to Ogier

 Conduct and support regular data protection audits and risk assessments to identify vulnerabilities and ensure compliance with data protection laws and policies

 Serve as the primary point of contact between Ogier and regulatory authorities on matters relating to data protection

 Provide expert advice and guidance to senior management and other departments on data protection matters, including data processing activities and data security practices

 Liaise with external professional advisers (including legal advisers) to the Ogier business, as necessary

 Develop and deliver data protection training to staff at all levels to raise awareness and ensure business-wide compliance

 Manage and respond to internal and external data protection queries (such as data subject access requests)

 Support the implementation of any data protection related projects

 Monitor and analyse changes in data protection laws and regulations, and update internal policies and procedures, as necessary

 Work closely with IT, Risk and the Information Security teams to ensure that technical and organisational data protection measures are in place and effective

 Oversee and manage data protection impact assessments for new and existing projects.

 Maintain comprehensive records of all data processing activities conducted by the company, as required by law

 Potential development for Group Data Protection Officer role, for the right candidate

Skills, Knowledge and Expertise

 Bachelor’s degree in Law, Information Technology, or a related field. A Master’s degree or relevant professional certification (e.g., CIPP/E, CIPM) is highly desirable

 Proven experience (minimum of 5 years) in a data protection or privacy role, ideally within a legal, compliance, or IT security setting

 In-depth knowledge of data protection laws and practices, including GDPR, CCPA, and other relevant legislation

 Strong understanding of information technology and data management systems

 Excellent communication skills, both written and verbal, with the ability to explain complex legal requirements to non-specialists

 Strong analytical and problem-solving skills, with a detail-oriented approach

 Ability to work independently and as part of a team, with a proactive and collaborative attitude

 High level of integrity and discretion in handling confidential information

 Supporter of change with the ability to adapt to the continual roll-out of innovative tools and processes

 Supportive of and able to demonstrate agile and flexible working

 Ability to consider organisation-wide implications when making decisions

About Ogier

About Ogier Ogier provides legal advice on BVI, Cayman, Guernsey, Irish, Jersey and Luxembourg law. Our network of locations also includes Beijing, Dubai, Hong Kong, London, Shanghai, Singapore and Tokyo. Legal services for the corporate and financial sectors form the core of our business, principally in the areas of banking and finance, corporate, investment funds, dispute resolution, private equity and private wealth. We also have strong practices in the areas of employee benefits and incentives, employment law, regulatory, restructuring and insolvency and property.

Ogier's corporate administration business, Ogier Global, incorporates and administers a wide variety of vehicles including public and private companies, partnerships and trusts. Ogier is based in 13 jurisdictions including Beijing, BVI, Cayman Islands, Dubai, Guernsey, Hong Kong, Ireland, Jersey, London, Luxembourg, Shanghai, Singapore and Tokyo.