Special officer required
The specialists of U-Peter Consulting prepared a sample of the job description of the responsible officer on counteracting the legalization (laundering) of criminal proceeds and the financing of terrorism.
You can purchase a full set of documents on AML / CFT, which includes all the necessary documents in accordance with the requirements of Federal Law No. 115-FZ.
JOB DESCRIPTION
responsible officer for combating the legalization (laundering) of criminal proceeds and the financing of terrorism
__________________________________________
(name of the division of the employer)
Developer: _____________________________
Agreed: _____________________________
(PREAMBLE)
This job description is developed and approved in accordance with the provisions of the Labor Code of the Russian Federation and other regulations governing labor relations in the Russian Federation.
1. GENERAL PROVISIONS
1.1. The responsible officer for counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism (hereinafter referred to as the employee) refers to mid-level managers.
1.2. This job description defines the functional duties, rights and responsibilities of the employee when performing work in the specialty and directly at the workplace in "________________" (hereinafter - the Employer).
1.3. The employee is appointed and dismissed by order of the Employer in the manner prescribed by applicable labor legislation.
1.4. The employee reports directly to ______________.
1.5. An employee must have a higher legal or economic education and at least two years of experience in the field of AML / CFT.
1.6. An employee is deemed not to meet qualification requirements in the presence of a criminal record.
1.7. The employee must know: federal laws and regulations, including decrees of the Government of the Russian Federation, other regulatory requirements, as well as performance standards and norms of professional ethics, internal documents of the Employer that determine the policy and regulate its activities; a system of methods for internal control and collection of information, its analysis and evaluation; labor legislation, rules and norms of labor protection, safety measures and fire protection.
1.8. In his work, the Employer is primarily guided by the Federal Law "On Combating the Legalization (Laundering) of Criminally Obtained Incomes and the Financing of Terrorism", the Charter of the Employer and the Rules of Internal Control of the Employer.
1.9. During the temporary absence of the Employee, his duties are assigned to _____________ (position).
1.10. Composition of the employee's subordinates: ________________________.
2. FUNCTIONAL RESPONSIBILITIES OF THE EMPLOYEE
2.1. Organizes the development and submission for approval by the Employer of the rules of internal control in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism and its implementation programs.
2.2. Organizes the implementation of internal control rules in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism, including programs for its implementation. For these purposes, the Employee advises the Employer’s employees on issues arising from the implementation of internal control programs to counter the legalization (laundering) of proceeds from crime and the financing of terrorism, and also takes decisions on messages transmitted to him - documents containing information about transactions, questioned.
2.3. Organizes the submission to the authorized body for countering the legalization (laundering) of proceeds of crime and the financing of terrorism (hereinafter referred to as the "authorized body") of information in accordance with the Federal Law "On Combating the Legalization (laundering) of proceeds of crime and the financing of terrorism "and regulations of the Employer of Russia.
2.4. It provides assistance to the authorized representatives of the Employer of Russia in conducting inspections of the activities of the Employer on issues related to its competence by the internal documents of the Employer.
2.5. Submits at least once a year a written report on the results of the implementation of the internal control rules in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism, including its implementation programs, to the employer's governing bodies in accordance with its internal documents. The procedure for the current reporting of the Employer is determined by the internal documents of the Employer.
2.6. It ensures the safety and return of documents received from the relevant divisions of the Employer.
2.7. Ensures confidentiality of information obtained in the exercise of its functions.
2.8. Performs other duties in accordance with the internal documents of the Employer.
3. EMPLOYEE RIGHTS
3.1. The employee has the right to:
- management of subordinates;
- providing him with work stipulated by an employment contract;
- a workplace that complies with state regulatory requirements for labor protection and the conditions provided for in a collective agreement;
- complete reliable information about working conditions and labor protection requirements at the workplace;
- vocational training, retraining and advanced training in the manner prescribed by the Labor Code of the Russian Federation, other federal laws;
- receipt of materials and documents related to their activities;
- interaction with other divisions of the Employer to solve operational issues of their professional activities;
- use of a cell phone for business purposes.
4. RESPONSIBILITY
The employee is responsible for:
4.1. Failure to fulfill their functional duties.
4.2. Invalid information about the status of the work.
4.3. Failure to comply with orders, instructions and instructions of the Employer.
4.4. Violation of safety regulations and labor protection instructions.
Failure to take measures to prevent detected violations of safety regulations, fire and other rules that pose a threat to the activities of the Employer and his employees.
4.5. Non-observance of labor discipline.
5. WORKING CONDITIONS
5.1. The work schedule of the Employee is determined in accordance with the Internal Labor Regulations established by the Employer.
5.2. In connection with the production necessity, the employee is obliged to go on business trips (including local ones).
5.3. In accordance with _________________, the employer evaluates the employee's performance. The set of measures for evaluating the effectiveness of approved _________ and includes: ______________.
The job description is developed on the basis of _______________________
(name, number and date of document)
Head of the structural unit: ____________________ / ___________
(initials, surname) (signature)
"___" ________ ___ g.
Familiarized with the instructions: ____________________ / ___________
(or: received instructions) (initials, surname) (signature)
1. General information about the professional standard (PS)
This PS is developed for AML / CFT specialists (*)organizations engaged in operations with cash or other property provided for by Art. 5 of the Federal Law of 07.08.2001 N 115-ФЗ
(*) - Counteraction to the legalization of proceeds of crime and the financing of terrorism
Typical position for which this PS is developed: "AML / CFT Specialist", hereinafter referred to as LDS.
(**) LDS - special official of an organization engaged in operations with cash or other property
Name of specialization PS ( specialization wording in the certificate): "Implementation of the rules of internal control on AML / CFT in the organization ".
The standard can also be applied to LDS of the following companies:
- professional securities market participants;
- insurance companies; leasing companies;
- organization of the federal postal service; pawnshops;
- organizations involved in the purchase, sale and purchase of precious metals and precious stones, jewelry from them and scrap of such products;
- organizations containing sweepstakes and bookmakers, as well as organizing and conducting lotteries, sweepstakes (mutual wagers) and other risk-based games, including in electronic form;
- organizations managing investment funds or non-state pension funds;
- organizations providing intermediary services in the implementation of real estate purchase and sale transactions;
- payment acceptance operators;
- commercial organizations concluding financing agreements for the assignment of a monetary claim as financial agents;
- credit consumer cooperatives;
- microfinance organizations.
2. Characteristic of a typical position
Post purpose: Organization and implementation of internal control in order to implement the requirements of Federal Law of 07.08.2001 No. 115-FZ "On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism"
Functional (official) duties:
- Organization of the development and submission for approval to the head of the organization of the necessary documents on internal control issues in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism.
- Organization of the implementation of the Internal Control Rules to combat the legalization (laundering) of proceeds from crime and the financing of terrorism.
- Implementation of the preparation of teaching materials, advising employees of the organization on issues arising from the implementation of internal control programs.
- Organization and implementation of work on training employees of the organization on countering the legalization (laundering) of proceeds from crime and the financing of terrorism.
- Organization of submission to Rosfinmonitoring of information in accordance with the Federal Law and other regulatory legal acts in the field of counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism.
- Decision-making on the Messages sent to him by the organization’s employees on the advisability of presenting it to the Head of the organization.
- Organization of work in accordance with the procedure for suspension of operations with monetary funds or other property in cases provided for by paragraph 10 of Article 7 of the Federal Law.
- Participation in the improvement of the Internal Control Rules in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism.
- Ensuring the confidentiality of information obtained in the exercise of the functions assigned to it.
- Providing an appropriate mode of protection and storage of fixed information.
- Presentation to the Head of the organization of a report on the results of internal control audits at least once every six months.
- The implementation of other functions in accordance with the internal documents of the organization.
3. PS knowledge card by typical position
The standard knowledge card includes 18 sections of specialized knowledge.
- International AML / CFT standards;
- Legal basis (regulatory documents) in the field of AML / CFT;
- National AML / CFT system;
- Activities of the authorized body (Rosfinmonitoring) in the field of AML / CFT;
- Activities of the supervisor in the field of AML / CFT;
- Basic rights and obligations of organizations engaged in operations with cash or other property in the field of AML / CFT;
- Organization of internal control in an organization engaged in operations with cash or other property;
- Requirements for the identification of customers, customer representatives and beneficiaries;
- General issues of risk assessment of the implementation by a client of legalization (laundering) of proceeds from crime and the financing of terrorism, the formation of a list of terrorists;
- Procedures for the identification of operations subject to mandatory control;
- Criteria and signs of unusual operations (transactions);
- Requirements for documentary recording and storage of information;
- Qualification requirements, rights and obligations of a special officer;
- Requirements for training and education of personnel in the field of AML / CFT;
- The procedure for submitting information to Rosfinmonitoring;
- The procedure for generating messages;
- Forms of supervision and types of checks in the field of AML / CFT;
- Responsibility for violation of the legislation of the Russian Federation in the field of AML / CFT
4. Sources on the map of knowledge
International AML / CFT Standards
UN Convention against the Illicit Traffic in Narcotic Drugs and Psychotropic Substances of December 19, 1988 (Vienna).
Council of Europe Convention on the Laundering, Detection, Seizure and Confiscation of the Proceeds of Crime from November 8, 1990 (Strasbourg).
International Convention for the Suppression of the Financing of Terrorism of December 9, 1999
UN Convention against Transnational Organized Crime of November 15, 2000 (Palermo).
United Nations Convention against Corruption of October 31, 2003 (Merida).
International standards for combating money laundering, the financing of terrorism and the financing of the proliferation of weapons of mass destruction (FATF Recommendations, 2012)
Codes of the Russian Federation
Code of the Russian Federation on Administrative Offenses of December 30, 01, N 195-ФЗ.
Laws of the Russian Federation
Federal Law of 08/07/01 No. 115-FZ "On counteracting the legalization (laundering) of proceeds from crime."
Federal Law of April 22, 1996 No. 39-ФЗ “On the Securities Market”.
Federal Law of March 26, 1998 No. 41-ФЗ “On Precious Metals and Precious Stones”.
Federal Law of October 29, 1998 No. 164-ФЗ “On Financial Leasing (Leasing)”.
Federal Law of July 17, 1999 No. 176-FZ “On Postal Communication”.
Federal Law dated 03.06.2009 N 103-ФЗ "On activities for the acceptance of payments by individuals carried out by payment agents."
Federal Law of 02.07.2010 N 151-ФЗ "On Microfinance Activities and Microfinance Organizations".
Federal Law of 19.07.2007 N 196-ФЗ "On Pawnshops".
Federal Law of the Russian Federation of June 19, 1992 N 3085-1 "On consumer cooperation (consumer societies, their unions) in the Russian Federation."
Federal Law of August 8, 2001 No. 129-ФЗ “On State Registration of Legal Entities and Individual Entrepreneurs”.
Federal Law of May 31, 2002 No. 63-ФЗ On Advocacy and the Bar in the Russian Federation.
Federal Law of December 26, 2008 No. 294-ФЗ “On the Protection of the Rights of Legal Entities and Individual Entrepreneurs in the Implementation of State Control (Supervision) and Municipal Control”.
Federal Law of November 11, 2003 No. 138-ФЗ On Lotteries.
Federal Law of December 29, 2006 No. 244-ФЗ “On State Regulation of the Organization and Holding of Gambling and Amending Certain Legislative Acts of the Russian Federation”.
Law of the Russian Federation of November 27, 1992 No. 4015-1 “On the organization of insurance business in the Russian Federation”.
Federal Law of 12.01.1996 N 7-ФЗ "On Non-Profit Organizations"
Documents of the President of the Russian Federation
Decree of the President of the Russian Federation of November 1, 2001 No. 1263 “On the authorized body to combat the legalization (laundering) of proceeds from crime and the financing of terrorism”.
Decree of the President of the Russian Federation of December 17, 1997 No. 1300 “On approval of the National Security Concept of the Russian Federation”.
Decree of the President of the Russian Federation of March 9, 2004 No. 314 “On the system and structure of federal executive bodies”.
Decree of the President of the Russian Federation of May 20, 2004 No. 649 “Issues of the structure of federal executive bodies”.
Decree of the President of the Russian Federation of June 13, 2012 No. 808 "Regulation on the Federal Service for Financial Monitoring".
Decree of the President of the Russian Federation dated February 15, 2006 No. 116 “On measures to counter terrorism”.
Documents of the Government of the Russian Federation
Decree of the Government of the Russian Federation of April 17, 2002 N 245 "On approval of the Regulation on the submission of information to the Federal Service for Financial Monitoring by organizations engaged in operations with cash or other property."
Decree of the Government of the Russian Federation of January 18, 2003 N 27 "On approval of the Regulation on the procedure for determining the list of organizations and individuals with respect to which there is information about their involvement in extremist activities or terrorism, and bringing this list to the attention of organizations engaged in cash transactions or other property. "
Decree of the Government of the Russian Federation of January 18, 2003 N 28 "On approval of the Regulation on registration with the Federal Service for Financial Monitoring of organizations engaged in operations with cash or other property in the field of activity of which there are no supervisory authorities."
Decree of the Government of the Russian Federation of March 26, 2003 N 173 "On the procedure for determining and publishing the list of states (territories) that do not comply with the recommendations of the Group for the Development of Financial Measures against Money Laundering (FATF)".
Decree of the Government of the Russian Federation of 05.12.2005 N 715 "On qualification requirements for special officials responsible for complying with internal control rules and programs for its implementation, as well as requirements for training and education of personnel, identification of customers, beneficiaries in order to counter the legalization (laundering) of income obtained by criminal means and the financing of terrorism. "
Decree of the Government of the Russian Federation of June 30, 2012 N 667 "On approval of the requirements for the internal control rules developed by organizations engaged in operations with cash or other property (except for credit organizations) and the recognition of certain acts of the Government of the Russian Federation as invalid."
Decree of the Government of the Russian Federation of August 29, 2011 N 717 "On some issues of state regulation in the field of the financial market of the Russian Federation."
Documents of the Federal Financial Monitoring Service
Order of the CPM of Russia of June 16, 2003 No. 72 “On approval of the Regulation on the publication by the CPM of Russia of a resolution to suspend operations (operations) with cash or other property in cases provided for by the Federal Law<О противодействии легализации (отмыванию) доходов, полученных преступным путем, и финансированию терроризма».
Rosfinmonitoring order dated 05.10.2009 N 245 “On approval of the Instructions on the submission to the Federal Financial Monitoring Service of the information provided for by the Federal Law of August 7, 2001 N 115-ФЗ“ On counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism ".
Rosfinmonitoring order dated November 30, 2005 No. 164 “On approval of the registration card form in the Federal Financial Monitoring Service of organizations engaged in operations with cash or other property in the field of activity of which there are no supervisory authorities”.
Rosfinmonitoring order of February 14, 2012 N 44 “On approval of the Administrative Regulation for the provision by the Federal Financial Monitoring Service of the state service for keeping records of organizations engaged in transactions with cash or other property in the field of activity of which there are no supervisory authorities”.
Rosfinmonitoring order dated 06.06.2012 N 192 “On approval of the Administrative Regulation of the Federal Service for Financial Monitoring and its territorial bodies to carry out the state function to monitor and supervise the fulfillment by legal entities and individuals of the requirements of the legislation of the Russian Federation on counteracting the legalization (laundering) of proceeds from crime by financing terrorism and holding accountable those who violated this law. ”
Rosfinmonitoring order dated 03.08.2010 N 203 “On approval of the provision on the requirements for training and education of personnel of organizations engaged in operations with cash or other property in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism”.
Rosfinmonitoring order dated February 17, 2011 N 59 “On approval of the Regulation on the requirements for identification of customers and beneficiaries, including taking into account the degree (level) of risk of transactions by a client in order to legalize (launder) criminal proceeds and to finance terrorism”.
Rosfinmonitoring order dated 10.11.2011 N 361 "On determining the list of states (territories) that do not comply with the recommendations of the Group for the Development of Financial Measures against Money Laundering (FATF)".
Rosfinmonitoring order dated 05.05.2009 N 103 “On approval of Recommendations on the development of criteria for identifying and identifying signs of unusual transactions”.
Rosfinmonitoring information letter dated 02.08.2011 N 17 "On signs of operations, types and conditions of activity that have an increased risk of clients performing transactions in order to legalize (launder) criminally obtained incomes and to finance terrorism."
Documents of the Prosecutor General of the Russian Federation
Order of the Prosecutor General of the Russian Federation of January 19, 2010 N 11 "On the organization of prosecutorial supervision over the implementation of laws on counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism."
Dear Clients! This instruction SDL responsible for PVC posted by us for informational purposes and will not be updated. Instructions on the latest legislative changes and a 1 year warranty will be provided to you in a package of documents (templates) individually for your organization on the page.
Job description
Special Officer Responsible for Compliance with Internal Control Rules [ name of organization carrying out operations with cash or other property]
This job description has been developed and approved in accordance with the provisions of the Labor Code of the Russian Federation, Federal Law of August 7, 2001 No., “On Qualification Requirements for Special Officials Responsible for Compliance with the Internal Control Rules and its Implementation Programs, as well as Training Requirements and training of personnel, identification of clients, beneficiaries in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism ”and E-normative legal acts regulating labor relations in the Russian Federation.
1. General Provisions
1.1. The special official responsible for complying with the internal control rules (hereinafter referred to as the person responsible for complying with the internal control rules) is classified as a professional.
1.2. The appointment to the post of the person responsible for compliance with the rules of internal control and dismissal from it is made by order of [name of the position of manager].
1.3. The person responsible for compliance with the internal control rules is directly subordinate to [name of the position of the direct supervisor].
1.4. The following persons are appointed to the position of the person responsible for compliance with the internal control rules:
- having a higher professional education in the specialties belonging to the group of specialties "Economics and Management", or in the specialty "Jurisprudence", belonging to the group of specialties "Humanitarian and Social Sciences", and in the absence of the specified education - having at least two years of work experience posts related to the fulfillment of obligations to combat the legalization (laundering) of proceeds from crime and the financing of terrorism;
- past training in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism.
1.5. During the absence of the person responsible for compliance with the internal control rules (business trip, vacation, illness, etc.), his official duties are performed by [position, F. I. O.].
1.6. The person responsible for compliance with internal control rules should know:
- laws and other regulatory legal acts of the Russian Federation in the field of combating the legalization (laundering) of proceeds from crime and the financing of terrorism;
- legislation of the Russian Federation on the securities market;
- rules and programs for the implementation of internal control in the organization;
- measures of responsibility that can be applied to an employee of an organization for failure to comply with the requirements of regulatory legal acts of the Russian Federation in the field of counteracting the legalization (laundering) of proceeds from crime and the financing of terrorism;
- other organizational and administrative documents of the organization adopted in order to organize and exercise internal control;
- the procedure for the development and approval of local regulatory acts of the organization;
- programs, principles of organization and implementation of internal control;
- methods of collecting information, its analysis and evaluation in the framework of internal control;
- typologies, typical patterns and methods of laundering criminal proceeds and terrorist financing, identification criteria and signs of unusual transactions;
- the procedure for documenting the necessary information;
- the basics of clerical work of labor legislation;
- rules and norms of labor protection.
The person responsible for compliance with the internal control rules performs the following functions:
2.1. Organization of development and submission for approval to the head of the organization of the rules of internal control in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism, including the program for its implementation.
2.2. Organization of the implementation of internal control rules, including programs for its implementation.
2.3. Preparation of teaching materials, advising employees of the organization on issues arising from the implementation of internal control programs.
2.4. Organization of work on training employees of the organization on countering the legalization (laundering) of proceeds from crime and the financing of terrorism.
2.5. Organization of submission to the Federal Financial Monitoring Service of information in accordance with the Federal Law “On Combating the Legalization (Laundering) of Criminally Received Incomes and the Financing of Terrorism” and other regulatory legal acts in the field of combating the legalization (laundering) of criminally acquired income, and the financing of terrorism.
2.6. Submission to the head of the organization within the time limits established by the head of the organization, but at least once a year, of a written report on the results of the implementation of the rules and programs of internal control in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism.
2.7. Decision-making on the messages transmitted to him by the organization’s employees on the advisability of presenting it to the head of the organization.
2.8. Organization of work in accordance with the procedure for suspension of operations with money or other property in cases provided for by the Federal Law “On Counteracting the Legalization (Laundering) of Criminally Received Incomes and the Financing of Terrorism”.
2.9. Participation in improving the rules and programs of internal control in order to counter the legalization (laundering) of proceeds from crime and the financing of terrorism.
2.10. Ensuring confidentiality of information received in the exercise of the functions assigned to it.
2.11. Providing an appropriate mode of protection and storage of fixed information.
2.12. Other functions in accordance with the organization’s internal control documents.
3. Responsibilities
Responsible for compliance with the rules of internal control is required
3.1. Comply with the requirements of the legislation of the Russian Federation, regulatory legal acts of the Russian Federation and executive authorities regulating activities to counteract the legalization (laundering) of proceeds from crime and the financing of terrorism.
3.2. Properly perform the functions assigned to it.
3.3. Observe the requirements of internal documents of the organization.
3.4. To ensure the safety and return of the original documents on paper and electronic documents received to perform the functions assigned to it.
3.5. Maintain official secrecy regarding the information received.
To fulfill the functions assigned to him, the person responsible for compliance with the internal control rules has the right:
4.1. For all social guarantees provided for by law.
4.2. To get acquainted with draft decisions of the organization’s management regarding its activities.
4.3. Submit to the management proposals for improving the organization's activities on issues within its competence.
4.4. Inform the immediate supervisor of all deficiencies identified during the course of the performance of their duties and make suggestions for their elimination.
4.5. Require the management of the organization to assist in the performance of their duties and rights.
4.6. To request information and documents from the heads and employees of the structural divisions of the organization, including organizational and administrative documents of the organization, accounting and monetary documents necessary for the performance of its official duties.
4.7. Make copies of received documents, including receiving and storing copies of files, copies of any records stored in local information networks and autonomous computer systems of the organization in the manner prescribed by the organization.
4.8. Improve your professional qualifications.
4.9. [Indicate other rights].
5. Responsibility
Responsible for compliance with internal control rules is responsible:
5.1. For non-fulfillment, improper fulfillment of duties stipulated by this instruction, to the extent determined by the labor legislation of the Russian Federation.
5.2. For offenses committed in the course of carrying out their activities - to the extent determined by the administrative, criminal, civil legislation of the Russian Federation.
5.3. For causing material damage - to the extent determined by labor and civil legislation of the Russian Federation.
Job description is developed in accordance with [ name, number and date of document]
HR Manager
[initials, last name] [signature] [date, month, year]
Agreed:
[position]
[initials, last name]
[signature]
[day month Year]
Familiarized with the instructions:
[initials, last name]
[signature]
[day month Year]
