Guy Hardill Int.Dip(Comp); Int.Dip (FinCrime); FICA
Compliance Associate, Apax Partners Guernsey Limited
1. How long have you worked in compliance?
I have worked in the compliance sector since 2006. Prior to that I had extensive credit analysis and investment analysis experience with an international bank in Guernsey and London, which ultimately set my future interest in compliance.
2. How did you land your first role in compliance?
I began in investment operations for a hedge fund of funds company, and a chance to work in the compliance department was offered to me. At this early stage, a friend recommended me to the ICA diploma, and in 2007 I studied for the International Diploma in Compliance, which I successfully passed.
An opportunity arose to join the Guernsey Border Agency in 2008 as a customs officer, specialising in financial crime investigations. I trained with the National Policing Improvement Agency over the following years to become an accredited financial investigator, and worked on a number of major financial investigations within the Financial Investigation Unit, which was formed in 2008 in Guernsey. I spent 5 good years in this role. Understanding compliance and investments helped in many of those investigations.
Having had a short period working for the Guernsey Financial Regulator, working with the enforcement division, I took my current role as Compliance Associate of Apax Partners Guernsey Limited. In 2014 I chose to undertake the International Diploma in Financial Crime Prevention, partly to upskill, partly due to personal interest in the subject, and also to strengthen my CV. I passed this diploma, and whilst looking at job opportunities in 2014, the fact I was studying towards the qualification opened a number of doors.
What also opened a number of doors was my Fellowship of the ICA, which I successfully applied for December 2013 having been a Member since I passed the Compliance diploma in 2008. “FICA” and “MICA” are now credentials that employers are actively looking for when recruiting compliance professionals, and the effort to attain those designations is well worth it.
3. What do you enjoy the most about your role?
I enjoy the variety, and the amount of work the role offers. Compliance never stands still and is rarely the same each day, with a variety of factors affecting the day to day role. I am lucky to be exposed to compliance from a company level, and underlying fund level, which involves close liaison with the financial regulator, and maintaining a compliance monitoring programme, which includes preparing and presenting papers to the Board. I am also responsible for all client due diligence, working alongside the MLRO.
4. What skills do you think you need for your type of role?
I truly believe the ICA diplomas have set the benchmark of knowledge for me to take into my roles, and given me a strong foundation that I can translate directly into my working life. You need to be a listener; an investigator; a presenter; strong willed; negotiator; strong written skills amongst many attributes. Compliance covers all areas of the business, and the ability to interact with people is vital, whether presenting to the Board or addressing all staff with training matters and compliance updates, it is essential to be organised.
5. Do you have any advice for those looking to move into a career in compliance?
Be prepared. When you get the opportunity, ask for some ICA training, whether certificate or diploma level to give you that foundation if new to the field. You must enjoy investigatory work, thinking outside the box and be able to turn regulatory and legal notifications into working practice.
6. What has been your career highlight so far?
Being the lead investigator responsible for a successful money laundering prosecution in Guernsey in 2009/10, which included giving evidence in the Royal Court case.
However, I genuinely feel now that I have found a role that really fits my expertise and I enjoy.
Help and support
Alternatively contact us on: +44(0)121 362 7534 / firstname.lastname@example.org (Course information)
or +44(0)121 362 7533 / email@example.com (Enrolled learners)
or +44(0)121 362 7747 / firstname.lastname@example.org (Membership)
or +44 (0) 121 362 7503 / email@example.com (End Point Assessment)