Compliance Officer / Executive Officer

• Develop, implement, and maintain a comprehensive Compliance Risk Management Framework, including policies on ethical conduct, AML/CFT, sanctions, KYC, data protection, and conflicts of interest.
• Ensure effective internal controls and adherence to AFSA regulatory requirements.
• Oversee documentation and fulfilment of all licensing and regulatory obligations.
• Promote compliance with AFSA Conduct of Business Rules, including fair dealing and market conduct standards.

• Design and execute a Compliance Monitoring Plan (CMP) to assess ongoing adherence to laws, regulations, and internal policies.
• Maintain a register of breaches and ensure timely implementation of corrective actions.
• Prepare and submit monitoring reports to senior management and AFSA.

• Develop, review, and update the Compliance Manual, Code of Conduct, Conflicts of Interest Policy, and Whistleblowing Policy.
• Ensure timely notification to AFSA regarding material changes, breaches, or incidents.
• Conduct regular policy reviews to ensure compliance with evolving legal and regulatory requirements.

• Maintain an independent and confidential whistleblowing mechanism for employees.
• Oversee investigation and resolution of reported issues.
• Promote a strong culture of ethics and professional integrity across the organization.

• Advise the Board of Directors and senior management on compliance matters, regulatory developments, and legal risks.
• Interpret and implement AFSA/AIFC requirements.
• Provide compliance input in strategic and operational projects.

• Develop and deliver an annual compliance training programme covering AML/CFT, sanctions, conflicts of interest, and ethics.
• Maintain training records and ensure full participation of all staff.
• Conduct induction training for new employees.

• Act as the primary point of contact with AFSA for compliance and reporting matters.
• Ensure timely submission of all regulatory reports, notifications, and responses.
• Coordinate and support AFSA inspections, independent audits, and consultations.

• Maintain accurate documentation of all compliance activities for a minimum of five years.
• Support internal and external audits and provide documentation as required by AFSA.

• Bachelor’s or Master’s degree in Law, Economics, Finance, or Business Administration.

• Minimum 3–5 years of experience in compliance, regulatory affairs, audit, or financial control.
• Strong knowledge of AFSA Rules, AIFC Acts, AML/CFT legislation of Kazakhstan, and FATF standards.
• Professional certifications such as ICA, CAMS, CISI, or ACAMS are an advantage.

• Analytical mindset and strong attention to detail.
• High integrity, objectivity, and professional ethics.
• Ability to make independent, well-reasoned decisions.
• Excellent command of English and Russian, both written and spoken.

HeadHunter