Associate at Enforcement Division

2 дней назад

NurSultan, Nur-Sultan, Казахстан AIFC Полный рабочий день 1 500 000 ₸ - 3 000 000 ₸ в год


Description:
The Associate of the Enforcement Division at AFSA is responsible for ensuring the integrity of the financial markets by monitoring, detecting, investigating, and taking necessary enforcement actions against non-compliance within the regulatory framework of the Astana International Financial Centre (AIFC). This role involves close collaboration with internal and external stakeholders to uphold the standards and regulations set by AFSA.

About AFSA:
The Astana Financial Services Authority (AFSA) is an independent financial regulator of the Astana International Financial Centre (AIFC).  The AFSA regulates financial service providers as well as the ancillary service providers, integrating into an international regulatory framework, and interfacing with other financial services regulatory authorities across the globe.
The AIFC is a territory within the city of Astana with defined borders and special legal and tax regimes. The Acting law of the AIFC is based on the principles, rules and precedents of the law of England and Wales. The official language within the territory of the AIFC is English.
The status of the AIFC and functions of its bodies are defined in the Constitutional Statute of the Republic of Kazakhstan "On the Astana International Financial Centre".
The AFSA is one of the statutory bodies of the AIFC. The AIFC Management Council is the highest body of the AIFC chaired by the President of the Republic of Kazakhstan.
The AFSA performs the following functions:
  • Registration of AIFC participants. The AFSA will register and incorporate financial entities and non-financial professional ancillary service providers. The function of the Companies Registrar sits in the AFSA.
  • Authorisation is the "gateway" to financial services activities in the AIFC. The AFSA authorisation aims to ensure that only the right firms, run by the right people, and selling the right products, to the consumers, are approved to do business in the AIFC.
  • Recognition will enable renowned financial market infrastructure and other qualified potential market participants to register and (or) obtain authorisation in a streamlined manner.
  • Supervision: in-depth, structured supervision work with firms will enable the AFSA to prioritise work, act quickly and decisively and be more pre-emptive in identifying and addressing problems before they cause harm.
  • Enforcement: strong and decisive enforcement will be vital to help make sure firms comply with the Acting Law of the AIFC, meet the AIFC standards and markets are sound, stable, and resilient.
  • Policymaking: development and implementation of rules, regulations and guidelines for AIFC, comprehensive analysis of current market trends, legal frameworks, risks and international standards.
Job Accountabilities:
The Associate in the Enforcement Division is entrusted with a comprehensive range of responsibilities designed to uphold and enforce the regulatory standards of the Astana Financial Services Authority (AFSA). These duties encompass a broad spectrum of enforcement activities to ensure adherence to financial regulations and safeguard the integrity of financial markets:
  • Investigative Oversight, Compliance Monitoring, and Communication: Regularly engage with the Supervision Office to monitor potential investigations, detect contraventions and ensure compliance, addressing deviations or misconduct. Review and process referrals from third parties and internal sources for Enforcement Assessment, ensuring prompt and efficient resolution of all allegations.
  • Decision-making, Legal Documentation and Notices: Prepare materials for review by the Enforcement Committee, assist the Enforcement Committee in decision-making process, recommend a suitable course of action. Issue clear, legally adherent notices to persons or entities under investigation and prepare Preliminary Notices and Decision Notices as required by the enforcement process, ensuring all legal documents uphold justice and regulatory compliance.
  • Evidence Management and Legal Procedures: Conduct document reviews, interview witnesses, and collect evidence essential for compiling investigation reports that support enforcement actions. Ensure all exhibits and evidence related to enforcement activities are logged, maintained, and accessible in an organized and timely manner.
  • Interdepartmental Collaboration: Foster strong, cooperative relationships with other divisions within AFSA to ensure a cohesive regulatory approach and support the overarching objectives of the AIFC. Represent the Enforcement Division in internal committees and working groups, contributing legal expertise to cross-departmental discussions and initiatives.
  • Administrative tasks: handling procurement matters for the division; storing and filing incoming and outgoing correspondence with other AFSA divisions, governmental bodies, and other stakeholders; drafting memos, quarterly reports, explanatory notes.

Qualification & Experience Requirements:
  • Educational Background: Bachelor's degree in Economics, Law, Finance, or a relevant field; an advanced degree in these disciplines will be an advantage.
  • Professional Experience: 1+ year of work experience in financial regulatory authorities, relevant organizations, advisory experience relating to financial regulation, experience in audit, compliance, legal work is desirable.
  • Certifications: Relevant professional certifications and qualifications will be an advantage.
  • Language Skills: Excellent command of English and Russian/Kazakh, both written and verbal.
Required Competences:
  • Regulatory Expertise: Strong understanding of financial regulations, compliance mechanisms, and the ability to navigate complex regulatory environments effectively.
  • Communication: Strong interpersonal and time management skills demonstrated through a professional, diplomatic, and ethical approach. Excellent communication and presentation skills, capable of delivering clear and concise information. Adaptive to working in a multi-ethnic and multicultural professional environment.
  • Detail-Oriented: Exceptional attention to detail for managing extensive and varied organizational documents.
  • Analytical Skills: Proficient in managing detailed and complex legal information.
  • Hard skills: excellent command of MS Office
  •  Ethical Integrity: High ethical standards and integrity in decision-making, ensuring transparency and accountability within the division and in dealings with external partners
Working Conditions:
  • Full-time position based in Astana, Kazakhstan.
  • Office environment with a hybrid work option as per AFSA's policy.
  • May require extra hours during peak project periods or event planning phases

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