FUNDS ADMINISTRATION – GUERNSEY

JOB SPECIFICATION

Contract Administrator – Transaction Services Support (min. 12 months)

Department: Funds Administration, Guernsey | Level: Administrator | Reports to: Funds Administration Manager

ABOUT US

Apax is a leading global private equity advisory firm. For over 50 years, Apax has worked to inspire growth and ideas that transform businesses. The firm has raised and advised funds with aggregate commitments of c.$80 billion. The Apax Funds invest in companies across three global sectors: Tech, Services, and Internet/Consumer. These funds provide long-term equity financing to build and strengthen world-class companies. Apax’s strategies comprise Global Buyout, Digital Growth, Global Impact, Mid-Market Israel, and Apax Credit.

We place excellence at the core of all we do. This means striving to achieve the highest standards of performance and seeking continuous improvement.

ROLE OVERVIEW

This contract role provides dedicated, responsive support to the Transaction Services (TS) team within Funds Administration Guernsey, working closely with Apax’s London- and New York-based TS teams to ensure a high standard of service across live private equity transactions. The role will also support TS with regulatory filings and requirements, including those arising under the FCA, FINRA and CFIUS regimes, as well as KYC requests relating to the fund’s underlying portfolio companies and banks holding accounts for SPVs within the investment structure. The role would ideally suit a paralegal, or an individual with equivalent experience, who has previous exposure to private equity transactions and corporate KYC processes. The initial contract will be for a minimum of 12 months, with the option to extend for a further 12 months.

DUTIES AND RESPONSIBILITIES

– Take the lead working closely with the Transaction Services (TS) team (UK and US), Apax’s in-house legal team and external deal lawyers to provide a highly reactive, responsive support service across live private equity transactions.

– Act as a first point of contact for TS on day-to-day administrative and documentary requests, ensuring queries are picked up and progressed promptly.

– Assist TS with regulatory filings, including under the FCA, FINRA and CFIUS regimes gathering, collating, checking and submitting supporting documentation within required deadlines.

– Responsibility for providing TS with Investor demographic data i.e. Country thresholds.

– Assist with the provision of KYC due diligence for portfolio companies within the fund's investment structure, liaising with deal teams and portfolio company contacts as needed.

– Assist with KYC requests raised by banks holding accounts for SPVs within the structure, ensuring bank onboarding and periodic review requests are actioned within SLA.

– Prepare, review and maintain transaction-related documentation (e.g. board and shareholder

resolutions, powers of attorney, closing sets) supporting PE deal completions.

– Responsibility for prompt execution of Investment related documentation include SPAs, ECLs etc.

– Liaise confidently with the various fund board directors to arrange Investment Committee meetings and prepare the accompanying minutes reflecting the board’s decision.

– Liaise confidently with lawyers, banks, notaries and other third parties as required on transaction and regulatory matters.

– Maintain accurate and organised records of KYC submissions, regulatory filings and their outcomes across the structure.

– Liaise with Apax’s group compliance team to collate and maintain deal related AML due diligence and environmental assessment materials.

– Identify opportunities to improve TS support processes and escalate issues or capacity constraints promptly.

– Ensure all work is completed to a high standard and in compliance with relevant regulatory and internal requirements.

– Undertake other duties and responsibilities as reasonably required by the Administration and Co-sec teams, including providing support across the team and taking on additional tasks from time to time.

QUALIFICATIONS / EXPERIENCE

Experience in a fund administration, corporate services, or paralegal role, ideally with prior exposure to private equity transactions and corporate KYC/AML due diligence. Familiarity with regulatory filing regimes such as the FCA, FINRA and/or CFIUS is advantageous but not essential, as training will be provided. A paralegal qualification or equivalent practical experience is desirable. Must be able to manage a varied and often unpredictable workload reactively, while maintaining a high degree of accuracy, confidentiality and discretion.

ATTRIBUTES

– Highly reactive and responsive, able to reprioritise quickly as TS's needs and deadlines shift.

– Strong client service focus, with a clear understanding of what it means to support an internal transaction team well.

– High level of attention to detail, particularly when handling KYC documentation and regulatory submissions.

– Ability to work to strict and often short-notice deadlines.

– Excellent written and oral communication skills.

– Ability to handle sensitive and confidential information appropriately.

– Comfortable liaising with a wide range of internal and external stakeholders, including lawyers, banks and TS colleagues.

– Proactive approach to identifying and resolving issues before they escalate.

Apax Partners – Funds Administration, Guernsey

Role Profile

Role FTC - New Business & Risk Officer

Reporting to Head of New Business & Risk

Team New Business & Risk

Division Investec Bank (Channel Islands) Limited

Key relationships

Internal (within Organisation)

• All departments in Investec Bank (Channel Islands) Limited • Investec Private Bank – London

External (Outside organisation)

• Intermediary Clients

Description of role and key responsibilities

Who are we? Investec is a distinctive financial services group serving clients principally in the UK and South Africa. Our culture gives us our edge: we work hard to find colleagues that bring out of the ordinary thinking, and we put them in environments where they'll flourish. We combine an accessible structure with a focus on internal mobility. The role demands an entrepreneurial spirit and a desire to learn and collaborate to help the business grow and to drive profitability; to deliver a commercial impact for the business. The role:

• To safeguard the organisation, its reputation, assets, and the interests of stakeholders by identifying and managing potential threats to the achievement of our business objectives in relation to new client take-on and existing client maintenance.

• It is key that the job holder must have a good understanding of the regulatory environment including the regulations, rules and guidance and their implications relevant to the job and to follow all applicable internal compliance considerations and appropriate processes, policies, and procedures.

Key responsibilities:

• New client onboarding, any subsequent sub account opening, reviewing client applications ensuring thorough completion also of all internal documentation including completion of risk assessments, workflow, screening, and other relevant searches.

• Careful review of all documentation supplied by the client to ensure that it is complete, compliant, and consistent. Liaison with the Intermediaries or Private Client/Corporate and Family Office Relationship Manager’s (RM) as required to identify and obtain any required additional information in respect of any new client take-on.

• Carrying out enhanced Customer Due Diligence for high risk and PEP relationships including liaison with the RM where necessary. The initial

business take on of high risk and PEP business remains the responsibility of the RM, the role holder positively working in cooperation with the RM in respect of information gathering.

• Acting to update information following trigger events and proactively identifying errors and omissions which may stimulate the need for updated risk assessments and /or necessary data corrections. Ensuring the trigger escalation process is followed and reviews are closed off in a timely manner.

• To support the periodic review process undertaking reviews or quality assurance where required.

• To assist in work in relation to FATCA & CRS to ensure clients are compliant for all new accounts and repapered accounts. Undertake a classification reasonableness check and refer as required.

• To undertake the daily monitoring of overnight screening results as required.

• To assist with the co-ordination of the PEP annual review process. Including the collation of the updated annual data for each PEP review, undertaking updated internet research as required and liaison with the RM to update annual documentation in advance of each PEP workflow process being initiated.

• To undertake static data changes and account amendments work. • Support the needs of the business with any retrospective CDD exercises

including the identification, rectification and logging of errors and omissions whilst following the review process.

• Manage own prospective client accounts and outstanding tasks to ensure all work is progressing and where no longer required or completed, is closed off in a timely manner.

• Actively support change and look to provide ideas for improvments.

Essential Criteria

Core Skills and Knowledge:

• Some exposure to management of regulatory risk in a large financial institution.

• Strong attention to detail delivery high quality work always. • An inquisitive and enquiring mind. • Challenging yet non-confrontational. • Persistence, an eye for detail and ability to complete projects within

specified deadlines. • Personal organisation and planning skills, proven time management skills

with ability to meet deadlines. • Excellent communications and presentation skills, to be able to inform

and persuade both orally and in writing. • Strong influencing skills that result in winning the co-operation of RMs

and colleagues and maintaining the appropriate priority for regulatory matters.

• Able to operate independently and escalate appropriately with confidence.

• A detailed knowledge of the general tools and techniques of account opening, KYC/CDD processes and all risk review processes.

• In depth knowledge required of client structures to facilitate the collection of Customer Due Diligence and compliance with local regulatory requirements.

• Detailed knowledge of FATCA and CRS requirements. • Knowledge of our organisation and the environment (e.g. regulatory,

physical) in which it operates. • Actively considers the wide picture identifying patterns and connections

between issues and situations that are not obviously related. • Logically breaks down problems and situations into their essential parts

and draws reasonable conclusions based on their analysis.

We agree that this document accurately reflects the key responsibilities and associated skills, knowledge

and attributes required for xxxxxxxxxxxxxxxxxxxxxxxxx to perform this role at this time. We acknowledge

that it is our responsibility to update this profile as things change.

__________________________________________ __________________________________ Line Manager’s signature Date

__________________________________________ __________________________________ Employee’s signature Date

• Proficiency in using AI-enabled productivity tools, such as Copilot, to improve efficiency, generate insight and support decision-making. Applies critical thinking and sound judgement when interpreting outputs, remains accountable for the quality and accuracy of their work.

About Investec What’s our culture like?

Our company culture is unique amongst our peers and other banks. A vibrant and colourful culture built upon an integrated purpose and with Belonging, Inclusion and Diversity at our heart… a place to bring your best self to work and where you can be truly yourself. Where will you be working? Located in the St Peter Port, Guernsey, our IBCI Head Office boasts a highly flexible office space, changing & showering facilities and an enviable terrace overlooking the marina. Hybrid Working We have a flexible working environment and a unique culture, meaning that colleagues and teams are asked to spend the majority of time in the office. We see great benefit in teams being together, connecting and spending time face to face. The specific working pattern options for this role should be discussed with the line manager.

February 2023

ADMINISTRATOR – CLIENT RELATIONSHIP TEAM

JOB DESCRIPTION This role involves building and maintain relationships with our members, their appointed advisors and other third parties, and liaising internally to co-ordinate administrative tasks. RESPONSIBILITIES Responsibilities will include the day-to-day administration of retirement products. DUTIES

 Dealing with administrative tasks relating to retirement products;  Dealing with incoming phone calls from Members, intermediaries and introducers.  Responding to and actioning member queries and administrative requests;  Updating Viewpoint and other relevant systems;  Following a range of checklists to ensure accurate administration of a range of tasks;  Liaising with, and providing clear and valid instructions to the Client Servicing Team to

action;  Liaising with, and responding to queries from members, intermediaries, introducers

and other Sovereign Offices;  Checking of suitability and validity of new requests received, which includes

conducting internal reviews to identity any outstanding information or documentation ;  Reviewing Customer Due Diligence documents, ensuring they are valid, in date and

certified correctly, and evidencing they in accordance with our certification guide;  Dealing with all retirement product requests including the collation of all relevant

information which is to be presented to the Client Services Team in a complete, accurate, and organised fashion to ensure requests can be processed in a timely manner;

 Liaising with the compliance department for them to conduct the compliance checks of members prior to processing administrative requests

 Maintaining relationships with advisors and introducers  Working in accordance with the Mission, Vision and Values of the Company.

o Mission = Listening. Understanding. Planning. Delivering. o Vision = To be the best at helping our clients achieve their aspirations. o Values =

 Superior Service  One Team  Versatile  Ethical  Respect  Expertise  Independent  Grow  Nimble

o Goals =  Grow Sovereign Organically and through acquisition  Operate collaboratively, driving efficiency, consistency, knowledge,

sharing and group cross selling  A leading provider for our financial solutions in all our jurisdictions  Leveraging our success to invest in our people and our infrastructure

February 2023

 Strive for excellence  Undertake training as required;  Other duties as may be required from time to time in accordance with the demands of

the role and development of the services provided.

JOB SPECIFICATION

FACTOR ESSENTIAL (E)

or DESIRABLE (D) QUALIFICATIONS

 Minimum 5 GCSE qualification (grade C or above) including English and Maths

E

EXPERIENCE

 1 - 2 years’ experience in a client servicing or financial services role

 Experience of pensions administration

E

D

KNOWLEDGE

 A good working knowledge of how to operate Microsoft Word, Excel and Outlook

 Previous experience of manual and/or electronic client recording systems;

 Understanding of Compliance and Client Due Diligence requirements;

 Understanding of relevant regulations on Money Laundering, countering Financial Crime;

E

D

D

D

SKILLS AND ABILITIES

 Numerate, diligent and well organised;  Good communication skills, including drafting emails and

responding appropriately to telephone calls;  Good client and company focus  Accurate with good attention to detail;  Good team player;  Good time management;  Ability to respond to urgent or delicate matters with tact and

diplomacy, and to recognise the need to refer to Management when required

E E

E E E E

E

February 2023

PERSONAL QUALITIES

 Good social and communication skills.  Desire to learn continuously and improve skills  Good work ethic  Good problem-solving skills  Empathetic  Patient  Supports company values

E E E D D D E

MOTIVATION

 Strong commitment to organisation effectiveness and service delivery

 Providing positive client outcome  Proactive in seeking new tasks  Self-motivated and diligent

E

E E E

Last updated: February 2023 Date of next review: Annually

(This job description will be reviewed annually in relation to the annual performance appraisal system and will be amended as required.)