Halyk Bank of Kazakhstan, JSC
Kazakhstan, www.halykbank.kz
Compliance division manager
- maintaining a database on individuals associated with the bank with special relations and affiliated persons of the bank;
- Review of the activities of Halyk Group companies for compliance with the requirements of CIS and non-CIS regulators, corporate governance, mergers / acquisitions, transaction structuring, risk assessment, external financing, creation of international groups of companies;
- analysis of documents on the subject of affiliated and connectedness of a person with the Bank with special relations;
- maintaining a database of individuals related to the bank with special relations;
- maintaining a database on terrorists and terrorist organizations;
- preparation and submission to the authorized body of reports on persons associated with the bank with special relations and affiliated persons of the bank;
- analysis of documents for the person's affiliation with the Bank in accordance with International Financial Reporting Standards IAS 24;
- maintaining a database of the Bank's related parties in accordance with International Financial Reporting Standards IAS 24;
- interaction with foreign financial institutions on the issues of Know Your Customer and Anti Money Laundering, including filling out the questionnaires of such foreign financial institutions;
- development of technical solutions for the Bank in terms of mandatory financial reporting for the Financial Monitoring Committee of the Ministry of Finance of the Republic of Kazakhstan on transactions subject to mandatory financial monitoring;
- development of typologies of suspicious behavior of the client in terms of money laundering received illegally, evasion of financial monitoring procedures, as well as financing of terrorism;
- conducting a project to prepare the Bank for the requirements of the Law of the Republic of Kazakhstan "On counteracting the legalization of incomes obtained illegally and financing terrorism", participation in the Working Groups, the implementation of the draft IT decision to implement the requirements of the Law;
- control of credit files of large corporate clients in compliance with prudential standards: K-3, the bank's own capital adequacy ratio, the maximum risk per borrower, special relationship with the bank, as well as participation in the preparation of reports on monitoring compliance with the "minimum equity capital";
- carrying out of the analysis and an estimation of efficiency of interaction between structural divisions and employees of the company, including revealing of possible conflicts of interests and conditions of their occurrence;
- participation in the process of current interaction with external auditors, state regulation and supervision bodies, other external audit organizations;
- participation in the development and improvement of the methodological basis for implementing control measures. Implementation of the subsequent control over the full and timely implementation of approved action plans, developed on the basis of the materials of the audits conducted;
- registration of inspection results, incl. description of violations and deficiencies identified in the verification process;
- carrying out of checks and an estimation of efficiency of system of the internal control on directions of activity of the company;
- Identify and mitigate any potential violations and risks;
- Suspicious Activity Reports (SAR);
- Transatction monitoring;
- Due Diligence of counerparties.