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  • Job title: Head of Compliance Control Service

     The following qualification requirements are imposed on the Chief Compliance Officer:

    1) education requirements: university degree in one or several core areas - law, finance, economics, management or other related areas connected to the business function;
    2) requirements for licenses, certificates: it is preferable to have an International Compliance Association certificate and / or similar certification;
    3) requirements for work experience: at least 5 years of management experience in a large holding company and / or audit companies, financial institutions (including the internal control, risk management, legal support divisions).

    Crucial areas of responsibility:
    1)   ensuring the development of internal documents of the Company and methodological recommendations on compliance control and other documents relating to the activities of the Service;
    2)   ensuring the accordance of Service reports with the requirements of internal regulatory documents on the organization of compliance control;
    3)   submission to the Board of Directors, in accordance with the deadlines established by the Company's internal regulatory documents, reports on the activities of the Service;
    4)   planning and timely consideration of the issues of the Service as part of the annual work plan of the Board of Directors;
    5)   periodic evaluation of the compliance of functions defined by the Regulations, rights, powers and responsibilities of the Service with the goals and objectives of compliance control and bringing the results of such assessment to the attention of the Board of Directors;
    6)   taking measures to improve the level of professional training of employees of the Service;
    7)   monitoring external regulatory requirements and best international practices in anti-corruption issues and determining the implications for the Company;
    8)   conducting timely communication and consultations for the Company's divisions on compliance issues;
    9)   organizing outreach and compliance training as needed;
    10) organization of evaluation of the exposure of key business processes of the Company compliance risks;
    11) ensuring the timeliness, reliability and completeness of information in the framework of the formation and submission of the compliance risk assessment report and the action plan to minimize them / on the status of compliance activities;
    12) participation in the periodic wide-ranging check of structural units for compliance competence;
    13) control over the procedure of monitoring the Company's activities for compliance with standards and principles of ethics and compliance;               
    14) introduction of a policy of initiative informing the Company's employees about corruption violations and compliance procedures (including the Code of Business Ethics), and external regulatory requirements by the Company's employees;
    15) organization of events to investigate the fact of compliance risks in the Company on the basis of the received complaint / appeals, including through proactive informing;
    16) implementation of general control, coordination and monitoring of the measures implementation aimed at ensuring effective internal control and implementation of programs for the purpose of countering the laundering (legalization) of proceeds from crime and financing of terrorism in the Company;
    17) organization of monitoring and control over the implementation of the requirements of the Company's internal regulatory documents for AML / CFT purposes;
    18) observance of confidentiality of information received, as well as observance of the established regime of secrecy, protection of commercial and other secrets;
    19) interacting with state, law enforcement and other organizations within their competence;

     

    Job title: Manager of Compliance Control Service   

    The following qualification requirements are imposed on the Compliance Manager:
    1) education requirements: university degree in one or several core areas - law, finance, economics, management or other related areas connected to the business function;
    2) requirements for licenses, certificates: compliance certificate is desirable;
    3) requirements for work experience: at least 3 years of management experience in a large holding company and / or audit companies, financial institutions (including the internal control, risk management, legal support divisions).

     Crucial areas of responsibility:
    1) development of a methodology relating to compliance control, assessment of the Company's compliance risks and ensuring assessment of the susceptibility of key business processes to risks of corruption, as well as other regulatory requirements applicable to the Company and preparation
    of a report on the evaluation of compliance risks and a plan to minimize them;
    2)  constant monitoring of external regulatory requirements and best international practices in anti-corruption issues, as well as other regulatory requirements applicable to the Company and determination of the consequences for the Company in the event of a change in the regulatory environment;
    3) compliance risk assessment, observation and control of compliance directions, incl. ensuring the assessment of the susceptibility of key business processes of the Company and its subsidiaries (if any) to risks of corruption and other regulatory requirements;
    4) carrying out explanatory work and training in compliance areas as needed;
    5) ensuring the implementation of initiative information in the Company;
    6) conducting inspections on compliance issues until full completion and taking corrective measures with the subsequent submission of a report to the Board of Directors of the Company;
    7) organization of monitoring and control over the implementation of the requirements of the Company's internal regulatory documents for AML / CFT purposes;
    8) preparation of periodic consolidated reports on the status of compliance risks, as well as centralized compliance controls for the Management Board / Board of Directors of the Company;
    9) submission to the Board of Directors of the Company of periodic (quarterly) reports on the status of compliance risks, including information through proactive informing about incoming messages, status of inspections and measures taken.


Information on Vacancies with KazAgroFinance JSC as of Junuary 10, 2019
  •      
     Candidates for the position of Compliance-Manager of the Compliance Service

    The Service Manager has the following qualification requirements:

     1) requirements for education: higher education in one or several profile areas - jurisprudence, finance, economics, or other related direction related to the business function;

    2) requirements for licenses, certificates: it is desirable to have a certificate in the area of ​​compliance;

    3) requirements for work experience: at least 3 years in a large holding company and / or audit companies, financial institutions (including the internal control, risk-management, legal support divisions).

    4) experience in performing most of the duties mentioned in the section “The main areas of responsibility”

    The main areas of responsibility:

    1) development of a methodology related to compliance-control, assessment of the Company's compliance-risks and ensuring assessment of the susceptibility of key business processes to corruption risks, as well as other regulatory requirements applicable to the Company and preparation of a compliance-risk assessment report and a plan to minimize them ;

    2) conducting continuous monitoring of external regulatory requirements and international best practices in countering corruption, as well as other regulatory requirements applicable to the Company and determining the consequences for the Company in the event of changes in the regulatory environment;

    3) carrying out an assessment of compliance-risks, monitoring and control of compliance directions, incl. ensuring the assessment of the susceptibility of key business processes of the Company and its subsidiaries (if any) to risks of corruption and other regulatory requirements;

    4) carrying out explanatory work and training in compliance areas as necessary;

    5) ensuring the implementation in the Company of the line of initiative information;

    6) ensuring the implementation of measures for the introduction of automated systems that reduce corruption risks in the Company's business process;

    7) conducting inspections on compliance issues until the completion and implementation of corrective measures with the subsequent submission of a report to the Board of Directors of the Company;

    8) preparation of periodic consolidated reports on the status of compliance-risks, as well as centralized compliance controls for the Management Board / Board of Directors of the Company;

    9) submission to the Board of Directors of the Company of periodic (quarterly) reports on the status of compliance-risks, including but not limited to information on the initiative of informing about incoming messages, on the status of inspections and measures taken.

     



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