Compliance Officer and MLRO GUERNSEY Role Specification - Ogier

Enforcement/External AuditorsThe operating environment and context of the job:The Group vision is to be the leading integrated offshore law firm and administrator providing the most innovative and comprehensive multi-jurisdictionalsolutions. The provision of such services is divided into Global Service Lines operating within jurisdictional business units.Legal/regulatory requirements:All relevant legislation in relation to investment and Fiduciary business and the Guernsey AML/CFT regime for Financial Services Businesses and PrescribedBusinesses• The Criminal Justice (Proceeds of Crime) (Bailiwick of Guernsey) Law, 1999 as amended• The Terrorism and Crime (Bailiwick of Guernsey) Law, 2002 as amended• The Disclosure (Bailiwick of Guernsey) Law, 2007• The Criminal Justice (Proceeds of Crime) (Financial Services Businesses) (Bailiwick of Guernsey) Regulations, 2007• The Criminal Justice (Proceeds of Crime) (Legal Professionals, Accountants and Estate Agents) (Bailiwick of Guernsey) Regulations, 2008• Guernsey AML/CFT Handbook for FSBs and Prescribed businessesThe Regulation of Fiduciaries, Administration Businesses and Company Directors, etc (Bailiwick of Guernsey) Law, 2000 as amended• Code of Practice for Corporate Services Providers• Code of Practice for Trust Services Providers• Code of Practice for Company DirectorsThe Protection of Investors (Bailiwick of Guernsey) Law, 1987 as amended• The Licensees (Conduct of Business) Rules, 2009• The Licensees (Capital Adequacy) Rules, 2010And any other legislation, rules or guidance that may affected the regulated entities.-23884349-2 Compliance Officer, MLRO GSY Page 4

Values & BehavioursLevel expected1 Team work: The ability to build a good team around you; respectful of colleagues and clients; build goodworking relationships and take pride in being part of successful, hard working enterprise2 Professionalism: Demands high standards of technical competence: qualifications, skills, knowledge as wellas high standards in relationships with others – clients and colleagues. Powerfully blended with drive,enthusiasm and commitment to goals of the enterprise3 Client service: Strong focus on the quality and strength of the client relationship and the delivery of highquality, bespoke services which meet their needs4 Openness: Acting in an honest and open way. Being fair and reasonable, and get things right as much aspossible but admit to mistakes and put things right. Applies to clients and colleagues5 Financial & commercial awareness: Take responsibility for your business, take pride in the brand, maintainand enhance it, and generate business effectively6 Delivering success: Great people get great clients and build strong relationships. Do a good job; keepclients happy, meet client expectations and success will followSkills and experience:• Track record working within a regulatory compliance function• Detailed knowledge of the GFSC AML/CFT Handbook and Client Due Diligence• Extensive knowledge of Client POI entities, collective investment schemes and fiduciary services• Hold a relevant Compliance qualification (e.g. ICA) or be willing to work towards, a professional, or relevant• Compliance related qualification• Good interpersonal skills-23884349-2 Compliance Officer, MLRO GSY Page 5

• Effective communicator• Ability to formulate, consider and select the most appropriate solutions• Ability to work effectively in a team and use own initiativeApproved by manager:Name:Job title:Tui ItiGroup Risk and Compliance DirectorSignature:Date:Approved by job holder: Name: Signature: Date:-23884349-2 Compliance Officer, MLRO GSY Page 6