2025

CONTRACTOR - SENIOR COMPLIANCE ADMINISTRATOR

JOB DESCRIPTION Sovereign is working with a third party on a customer due diligence remediation project. The role will require a senior compliance administrator to liaise with the third party and review all CDD (and where appropriate ECDD) received and determine whether such is suitable in accordance with Guernsey laws and Regulations. RESPONSIBILITIES Responsibilities will include, working with the Compliance Manager in leading the project, provide feedback on progress made and any challenges faced. The successful candidate will be required to attend internal meetings, calls with the external third party and provide monthly reports. DUTIES Duties will include:

• Reviewing customer due diligence and enhanced customer due diligence documents and determining whether such meet Guernsey laws and regulations;

• Updating the shared project task worksheet.

• Attending regular internal meetings, providing feedback on progress made and challengers faced.

• Working with the Compliance Manager, to provide the board with a monthly report, outlining all cases received, updated and

• Liaising with the project third party and where appropriate, other third parties regarding the CDD and/or ECDD received;

• Responding to internal and external queries;

• Supervision of other staff members that may be working on the project and providing guidance when necessary;

• Relationship risk assessments and reviews.

• Where appropriate assist the Compliance Manager with any non- project related tasks, including but not limited to conducting compliance monitoring activities in accordance with the Compliance Monitoring Plan, assess levels of and adequacy of compliance, and produce compliance review reports.

• Any other related duties that may be required by the Compliance Manager or a Director from time to time.

PERSON SPECIFICATION

FACTOR ESSENTIAL (E) or DESIRABLE (D)

QUALIFICATIONS

• Minimum of 5 GCSE qualifications (Grade C or above) including English and Maths

• Holds suitable qualification in Compliance/AML

E

E

2025

EXPERIENCE

• Minimum of 4 years’ experience as a Compliance Administrator

• Trust & Company Administration experience, particularly new business procedures

E

D

KNOWLEDGE

• Thorough knowledge of regulatory requirements, local Codes and policy matters

• Strong knowledge and understanding of the Handbook on Countering Financial Crime (AML/CFT/CPF)

• Good working knowledge of how to operate Word, Excel and e-mail system

E

E

E

SKILLS AND ABILITIES

• Good organisation and communication skills

• Good attention to detail and analytical skills

• Must be able to keep client matters strictly confidential

• Ability to communicate clearly and concisely, verbally and in writing, in English.

• Ability to follow detailed policies and procedures

• Ability to manage time and varied workload

• Supervisory skills

E E E E

E E E

PERSONAL QUALITIES

• Good social and presentation skills

• Amiable and approachable

• Multi-tasker

• Team player

E E E E

MOTIVATION

• Self-motivated and diligent

• Proactive in seeking new tasks and seeking to continually improve standards

• Demonstrates commitment to organisation effectiveness and service delivery

E

E

E

Jan 2025

COMPLIANCE MANAGER, MLRO, MLCO & COMPLIANCE OFFICER SOVEREIGN PENSION SERVICES (CI) LIMITED

JOB DESCRIPTION This management role involves a variety of compliance and regulatory policy matters as well as regulatory analysis administration tasks and responsibilities. The role holder also acts as the company’s Money Laundering Reporting Officer (MLRO), Money Laundering Compliance Officer (MLCO) and Compliance Officer (CO). RESPONSIBILITIES To manage compliance and regulatory risk in the business and to ensure a robust up to date framework is in place. To ensure that an adequate internal control framework is maintained to identify the risk of non- compliance within the regulatory environment, and to develop and maintain policies, procedures and controls, to manage and report on that risk. The role also includes managing a small, dedicated team of compliance personnel. As a member of the management team, the Compliance Manager will contribute to management discussions and developments and reports directly to the Managing Director. The post holder will undertake the roles of MLRO and MLCO and will be responsible for monitoring the company’s adherence to (and effectiveness of) its policies, procedures and internal controls to forestall, prevent and detect money laundering and terrorist financing, and reporting to the board on such monitoring. The post holder will also undertake the role of CO. DUTIES – COMPLIANCE MANAGER Duties will include:

• Reviewing new legislation, conduct of gap analysis and enhancement of existing processes and procedures to ensure that the company is compliant with the regulatory framework;

• Being a member of the risk committee, providing input to the Business Risk Assessment (BRA) and conducting regular reviews in relation to the identification and management of risks to which the company is exposed;

• Dealing with any points arising from risks and reports on a timely basis;

• Responding appropriately to alleged breaches, violations of rules, regulations, policies, procedures;

• Embedding a compliance culture, ethics and integrity within the company through close engagement with the board, managers and employees;

• Developing the existing risk management strategy to strengthen the mitigation of risk within the business;

• Responsibility for the production of compliance reviews and reports to the board;

• Maintenance of the compliance and regulatory risks registers;

• Assisting the board in respect of regulatory visits, new applications, responding to discussion and consultation papers and thematics issued by the GFSC, reporting and statistical returns, remedial work and enforcement actions;

• Reviewing marketing, advertising and promotional material;

• Conducting the internal investigation of compliance and risk related issues;

Jan 2025

• Conducting risk assessments and reports on new products and services, identifying any operational risks;

• Acting as first point of contact for whistleblowing;

• Acting as the liaison point with compliance colleagues within the Group and liaising as necessary with the Group Risk & Compliance Director;

• Overseeing FATCA, CRS and other international reporting obligations;

• Developing, initiating, maintaining, and revising all relevant policies and procedures together with those for the general operation of the Compliance Monitoring Plan (CMP) and all related activities to prevent illegal, unethical, or improper conduct and providing guidance to management and employees;

• In addition to the Directors, acting as an independent review and evaluation body to ensure that compliance issues/concerns within the company are being appropriately evaluated, investigated and resolved;

• Monitoring, and as necessary, coordinating compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends;

• Identifying potential areas of compliance vulnerability and risk;

• Developing/implementing corrective action plans for resolution of problematic issues, and providing general guidance on how to avoid or deal with similar situations in the future;

• Providing compliance reports on a regular basis, and as directed or requested by the Directors, to keep the Board and senior management informed of the operation and progress of compliance efforts;

• Ensuring proper reporting of breaches/violations or potential breaches /violations to the GFSC, or other agencies, as appropriate;

• Working with People Operations, and others as appropriate, to develop an effective compliance training and communication programme, including appropriate Compliance Induction training for new employees as well as mandatory on-going training for all employees and managers;

• Undertaking and reviewing due diligence in relation to new business, existing structures and changes to the same;

• Scrutinising, interrogating and updating compliance records in relation to client structures;

• Liaising with internal contacts regarding the production of compliance reports;

• As line manager dealing with all day to day personnel issues and providing motivational guidance, training, coaching support, and performance reviews, as required;

• Taking responsibility for own personal development, in line with agreed performance appraisal objectives;

• Acting as a role model for the values of the company and encouraging their use and adherence in order to create a culture which has benefits for employees, clients and the Group as a whole, including aspiring to the Group’s Mission, Vision, Values and Goals;

• Identifying and investigating issues or trends which may adversely affect business compliance and proposing any necessary action to promote business improvement;

• Carrying out risk assessments and file reviews for client structures;

• Maintaining, reviewing and implementing any compliance or risk remediation programmes agreed with the GFSC;

• Acting as authorised signatory;

• Any other related duties that may be required by a Director from time to time.

DUTIES – MLRO

Duties will include:

• Receiving internal disclosures of suspicion from members of staff;

Jan 2025

• Determining (in a timely manner) whether such disclosures should be externalised to the Financial Intelligence Unit (“FIU”);

• Recording decisions in respect of disclosures received internally and whether to externalise such disclosures;

• Reviewing and monitoring previous disclosures received and determining whether external disclosure is required;

• Maintaining a register of all internal and external disclosures;

• Acting as the main point of contact with the FIU;

• Monitoring notices and information circulated by FIU to the Company and acting thereon;

• Acting independently of the Board of the Company in respect of the MLRO’s responsibilities under the Disclosure (Bailiwick of Guernsey) Law, 2007 (as amended) (“Disclosure Law”) and the Terrorism and Crime (Bailiwick of Guernsey) Law, 2002 (as amended) (“Terrorism Law”);

• Supervising any deputy MLRO or Nominated Officer appointed by the Company;

• Providing training to staff on the role of the MLRO and duties placed on staff in respect of reporting suspicion of money laundering and terrorist financing;

• Maintaining up to date knowledge of changes to the Disclosure Law and the Terrorism Law and disseminating information to the Board and staff of the Company;

• Adhering to the requirements of the GFSC Handbook;

• Drafting, reviewing and revising the Company’s internal policies and procedures in respect of reporting suspicion, including making recommendations to the Board in relation to possible improvements thereto;

• Such other duties as shall be notified to the office holder from time to time by the Board.

DUTIES – MLCO

Duties will include:

• Overseeing the monitoring and testing of the Company’s AML and CFT policies, procedures, controls and systems and assessing their appropriateness and effectiveness;

• Responsibility for implementing and monitoring the Company’s compliance monitoring plan (“CMP”);

• Investigating any matters of concern or non-compliance arising from the Company’s CMP;

• Establishing appropriate controls to mitigate any risks arising from the Company’s CMP and remediating issues where necessary and appropriate, in a timely manner;

• Preparing, submitting and presenting reports to the Board on compliance matters, including the results of the testing undertaken and raising any issues that need to be brought to the attention of the Board.

DUTIES – CO

Duties will include ensuring regular contact with the Board to ensure the Board is able to satisfy itself that all requirements of the compliance laws and rules applicable to the Company are being met.

Jan 2025

PERSON SPECIFICATION

FACTOR ESSENTIAL (E) or DESIRABLE (D)

QUALIFICATIONS

• Minimum 5 GCSE qualifications (Grade C or above) including English and Maths

• 2 A Levels (Grade C or above) and/or Degree Level qualifications

• Compliance and/or AML professional qualifications

• Management qualification / training, or willingness to undertake the same

E

D

E D D

EXPERIENCE

• Minimum 5 years’ compliance experience

• Trust & Company administration experience

• Pensions administration experience

• Well-developed supervisory and management experience, backed by suitable training

• Presentations and/or training experience

E D D

E E

KNOWLEDGE

• A good working knowledge of how to operate Word, Excel and e-mail system

• Excellent knowledge of regulatory requirements, local codes and policy matters

• Good knowledge of Trust & Company Administration

• Good knowledge of Pension Administration

E

E

D D

SKILLS AND ABILITIES

• High attention to detail

• Confident decision maker

• Excellent analytical skills

• Must be able to keep client matters strictly confidential

• Ability to communicate clearly and concisely, verbally and in writing, in English.

• Strong report writing skills

• Ability to develop and follow detailed policies and procedures

• Excellent client and customer focus with ability to build effective relationships and establish trust, respect, and confidence

• Good people manager, able to deal with day to day people issues, including performance management

• Good time management

E E E E

E E

E

E

E

E

Jan 2025

PERSONAL QUALITIES

• Good social and presentation skills

• Amiable and approachable

• Multi-tasker

• Strong work ethic

• Flexible

• Desire to learn continuously and improve skills

E E D E D E

MOTIVATION

• Self-motivated and diligent

• Proactive in seeking new tasks and seeking to continually improve standards

• Strong commitment to organisation effectiveness and service delivery

• Demonstrates drive

E

E

E E

Last reviewed: January 2025

12/11/2025 10:42:45

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Job Description Sustainability and Governance Manager

Date: November 2025 Profile of Role Reporting to the Head of Finance, Risk and Governance, the Sustainability and Governance Manager will coordinate and drive forward Environmental, Social, and Governance (“ESG”) initiatives, ensuring compliance with evolving sustainability standards, reporting to Group ESG Centre of Excellence, advancing the sustainability agenda, strengthening internal controls, and supporting governance frameworks across the business. Key Tasks and Responsibilities Sustainability management

• Propose and develop stakeholder engagement strategies regarding sustainability

and recommend proposals for implementation.

• Stay abreast of forthcoming ESG (non-financial) reporting standards and

requirements.

• Drive forward Healthspan Sustainability Mission 2024-2026.

• Environmental Scope 3 plan assistance including:

o Assessing level of supplier green energy usage on site.

o Targets for emission reduction and proposed timelines.

o Agreeing format and timeline for communication of progress by supplier.

o Agreeing programme for review and follow up.

• Active participation in post 2026 Healthspan Sustainability Mission planning.

• Drive sustainability monitoring and planning in relation to logistics.

o Tracking and monitoring of carrier statistics on emissions per parcel/letter

and application to Healthspan output for monthly reporting.

o Set feasible %emission reduction targets in line with this.

• Creating and monitoring of emissions throughout products supply chain.

• Build out and maintain Sustainability page on SharePoint Site.

• Collation of data from relevant business units for upload to parent portals for

reporting purposes as required.

• Sharing Sustainability initiative progress with stakeholders.

Governance Management

• Discussions with suppliers to establish a format for rotational communication

confirming their review of supply chain working practices to ensure complete

compliance Human and Labour rights policy as detailed in the Code of Conduct.

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• Establish method of recording supplier work chain polices/confirmations in order to

compare and follow up on any areas of concern.

• Periodic review and update of standard governance related policies and procedures.

• Continued monitoring and update of Business Continuity Plan for Guernsey and UK

entities and facilitation of periodic testing.

• Assistance with ongoing population and update of Risk and Internal Control

Scorecard Assessment.

• Conducting ad hoc internal controls reviews/gap analysis for Healthspan entities.

• Monitor employee completion of governance related policy review and follow up

accordingly.

• Assist with strengthening governance and internal controls within all current and

future Healthspan entities.

Key Criteria

• Experience of working within a sustainability and/or governance related role.

• Interest in sustainability and sustainable practices.

• Strong attention to detail.

• Experience in collaborating with colleagues across a variety of departments.

• Ability to multitask and manage conflicting workloads and priorities.

• Ability to assume responsibility and work on own initiative.

• Effective communication skills.

• Flexible and adaptable.

• Ability to challenge assumptions.

• Ability to work to deadlines.

Desirable Criteria

• Experience in a commercial operation.

• Experience of using Microsoft Navision and/or Business Central.

Behavioural Qualities

• Leads by Example: Leads by example and displays a high-level of personal integrity. Involves team members in decisions and faces-up to potential unpopular choices, they gain the respect of others through providing local and wider leadership and by promoting a ‘one team’ approach across the business. They also take steps to ensure that team/s function effectively and can meet the internal and external challenges faced. They accept professional responsibility for their work and for the work of colleagues who are defined in a given context as working under their supervision.

• Effective Communication: Communicate effective and respectfully with all key internal and external stakeholders. Encourages two-way communication in all interactions, choosing the optimum time and approach to maximise their impact, using effective

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questioning and listening skills and adapting their approach and style to the audiences’ needs.

• Working Collaboratively: Works collaboratively with colleagues and forms effective partnerships with internal and external stakeholders. Develop internal networks capable of furthering strategic objectives of the department/function. Promoting cross- disciplinary working as a means of achieving shared goals, taking account of areas of common interest and difference and working with individuals and groups to help advance Healthspan’s strategic objectives.

• Delivering Successful Outcomes: Create systems and processes to manage delivery of the required outcomes on time, within budget and to the required standard. Delivers outcomes in support of Healthspan’s strategy and goals. They identify the links between the wider strategy and their team’s objectives, communicate this, create the conditions for team performance, involve others, review progress and act, as appropriate. Maintain relationships with key stakeholders, involving them as required.

• Managing Performance, Resources & Risk: Promote and develop a high-performance culture in own area of responsibility. Takes an integrated approach to managing resources, performance and risk. Creating and contributing to a high-performance culture, supported by an effective approach to performance management and risk, they use resources optimally to place Healthspan in the best position to achieve its strategic objectives.

• Championing Effective Change: Champions change with team members and other stakeholders. Putting the interests of the company first, they plan and implement change initiatives designed to maintain Healthspan’s position as the UK’s number one direct brand of vitamins and supplements and support others to engage with and deliver the company’s agenda.

• Analysis & Problem Solving: Demonstrates strengths in analytical thinking and problem- solving skills. Develop new approaches and creative solutions to deliver team outcomes Understand the strengths of different types of data and can solve problems relating to their role in order to deliver Healthspan’s organisational strategy.

• Organisational Citizenship: Promotes Healthspan’s interests in all internal and external encounters. They actively seek to further the company’s agenda and encourage others to do so, mindful always to do so in an inclusive manner and in keeping with the company’s commitment to internal and external customer/employee/community engagement.

• Continuous Personal Development & Team: Ensures that all staff possess the knowledge and skills required to carry out their roles to the required standard. They show an interest in their own learning and development and in that of their team members and ensure that all have development plans tailored to their needs. They also champion a culture of continuous learning and improvement and ensure that the lessons learnt are applied at work.

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Job description Job Title: Assistant Manager – Market Regulation Reporting to: Manager - Market Regulation Department: Market Regulation Location: Guernsey

Company Overview Built on a culture of responsiveness and innovation, The International Stock Exchange (TISE) provides financial markets and securities services to public and private companies. TISE is best known as one of Europe’s major professional bond markets. Its Qualified Investor Bond Market (QIBM) is the leading market in Europe for listing high yield bonds and private equity debt and has a growing reputation for listing securitisation transactions. TISE also has a pool of investment funds and a significant share of the market for listed UK Real Estate Investment Trusts (REITs), as well as hosting a comprehensive sustainable finance segment, TISE Sustainable. TISE has over 4,500 securities on its Official List with a total market value of more than £750 billion. Issuers choose us because the products are provided through an efficient and cost-effective service from a venue which is internationally recognised and operates to global standards. A wholly owned subsidiary of Miami International Holdings, Inc., TISE is headquartered in Guernsey and operates across Dublin, Guernsey, the Isle of Man, Jersey and London. The operations of TISE are segregated between two companies which separates the commercial interests of the Group from the regulatory activities of the Authority. The International Stock Exchange Group Limited (TISEG) is responsible for TISE’s promotional and business development activities, corporate strategy and shared services (e.g. Finance, HR, IT and Marketing & Communications etc). The International Stock Exchange Authority Limited (TISEA) is a wholly owned subsidiary of TISEG and is licensed to operate the Exchange. TISEA is responsible for the listing of securities on the market and the supervision of Members of the Exchange.

Role Profile

We are seeking to recruit an Assistant Manager within the Market Regulation department based in our Guernsey office. Reporting to the Manager, Market Regulation, the Assistant Manager will be responsible for running the day-to-day operational activity of the team. In anticipation of further growth and future

planned expansion, this is an exciting opportunity to work in capital markets for a locally based company with truly international ambitions.

Duties and Responsibilities • Engender and deliver pro-active, service focussed, engagement with Members of TISE in order

to promote their own, and their issuers’ compliance with the rules of the Exchange.

• Identify and deliver continuous operational and process improvements and efficiencies, enabling

straight through processing wherever possible.

• Lead on all risk-based market monitoring and supervision activities relating to TISE listed issuers,

determining proportionate mitigating actions or escalating matters where appropriate.

• Plan and undertake onsite supervisory visits to Member firms, and report findings and

recommendations to the Listing & Membership Committee.

• Capacity planning, ensuring that all known and/or predictable tasks are planned for and managed

effectively and in a timely manner.

• Support the delivery of effective and relevant management information and reporting for

consideration by the management team, committees or Boards as appropriate.

• Work collaboratively with other departments to ensure shared goals and objectives are achieved,

and that relevant cross functional risks are properly managed.

• Engagement, and development of relationships, with other regulators and agencies in relation

to information and intelligence sharing.

• Support the development of the Membership Rules, continuing obligations section of the Listing

Rules and relevant policies and procedures and applicable website content.

• In time, participate as an active Member of the Listing and Membership Committee (LMC), which

is responsible for regulatory decision making, subject to approval and following appropriate

training.

• Ensure continual personal development to ensure that the job holder is up to date with relevant

legal and regulatory matters.

• Prepare, deliver and attend relevant internal and external workshops, seminars and training

courses.

• Assist with ad hoc projects as requested by the Board.

Key Competencies

• Demonstrable focus on client service excellence.

• Ability to identify and execute operational process improvements.

• Ability to role model company values.

• Ability to exercise good judgement when dealing with partial, ambiguous or complex

information.

• An excellent coach of others.

• Ability to prioritise effectively.

• Ability to work under pressure and meet agreed deadlines.

• Methodical and organised.

• Ability to manage deliverables with minimal supervision.

Personal Attributes

• Analytical and investigative mindset driven by curiosity.

• Excellent communication skills, both written and verbal.

• High level of accuracy and attention to detail.

Qualifications

• Relevant ICA or CISI qualification would be beneficial.

• Relevant industry experience would be beneficial.