||Reports to the Director of Security and Compliance. The Compliance Manager is responsible for ensuring property compliance with the BSA/Title 31 regulations, NIGC Minimum Internal Control Standards, applicable Tribal Regulations, including the Tribal Internal Control System (TICS), property’s System of Internal Control (“SIC”), Company Policies & Procedures, as well as performing audit procedures as directed by the General Manager.
The Compliance Manager is responsible for facilitating a close working relationship and effective communication with all regulatory agencies including but not limited to property’s Tribal Gaming Commission (“TGC”), Tribal Public Safety, Tribal Gaming Regulatory Authority, state Gaming Control Board, Operations, and both internal and external auditors.
- Act in accordance with all Company standards, policies, and procedures.
- Practice, support, and promote property’s “Unsurpassed Service” Standards at all times.
- Perform audit procedures as directed by the Director of Security & Compliance.
- Serves as the lead in determining whether suspicious activity will be reported to the appropriate Federal agencies and what additional actions will be taken.
- Review immediately any Compliance Report from the TGC and coordinate a proper and timely response with the appropriate department head(s).
- Review and update Company policies and procedures. Ensure an accurate library of them is easily accessible to all Team Members.
- Ensure that all required policies and procedures are submitted to the TGC prior to implementation.
- Maintain and update the SICs and ensure that it is easily accessible to all Team Members.
- Manage/supervise the Compliance Supervisor and Specialist and assist with property all Title 31 activities.
- Document and disseminate correspondence with the TGC.
- Perform walkthroughs of gaming areas to ensure compliance with regulations and that Team Members are properly trained and understand all required procedures.
- Plans, manages and is responsible for the performance and completion of AML audits. Assesses compliance with Title 31 compliance with regulatory requirements and company policies and procedures to ensure company assets are safeguarded.
- Develops, implements, and maintains audit programs, procedural manuals and guidance. Performs risk assessments and assists to ensure commensurate controls are in place. Ensures audit practices are compliant, current with regulatory and industry changes and conform to department and professional standards.
- Leads and manages Team Members under supervision, including developing, appraising, counseling, hiring and terminating. Monitors that Team Member job duties are timely and properly completed.
- Reviews work papers, ensuring that such work papers contain sufficient, competent, and relevant evidential matter to support the conclusions noted. Monitors that work papers and other records are properly organized and maintained/retained.
- Develops, implements, and maintains the AML training program ensuring compliance with AML requirements and current policies and procedures. Trains and communicates changes to Compliance Team Members.
- Reviews (internal and external) audit results and implements corrective action as needed.
- Completes analysis and reports in a timely manner with accuracy and completeness.
- Accurately and completely performs all administrative duties and monitors that Compliance Team Members do the same.
- Analyzes current processes and procedures and makes and implements improvements under direct control and recommends solutions for items outside of direct control.
- Bachelor’s Degree in Accounting, Business Administration or related discipline.
- Minimum seven (7) years’ experience in compliance in the gaming industry dealing with Title 31, AML, regulations, and audits for a property with a minimum of 1500 slot machines.
- A minimum of two (2) year’s supervisory experience is required.
- Proven ability to maintain a high level of confidentiality and professionalism.
- Demonstrated ability to meet deadlines and effectively manage multiple priorities in a fast paced and demanding environment.
- Proficient with computer skills, including Outlook, Word, and Excel. Strong organizational skills. Especially strong written skills.
- Must possess excellent interpersonal, oral, and written skills to communicate effectively with Team Members, Management, and Regulators.
- Demonstrated knowledge of Casino Gaming rules, regulations, policies, and procedures.
- Proven ability to discuss detailed regulatory and accounting issues with property’s management and TGC personnel regarding all aspects of an audit.
|Certificates, Licenses & Registrations
This Company is an Equal Opportunity Employer but does practice Indian Preference hiring in accordance with Public Law 93-638, the Indian Self Determination and Education Act.All applicants must be able to demonstrate their U.S. work authorization during the employment verification process.The pre-employment process also requires the ability to pass a criminal background investigation, and drug/alcohol test.
This job description indicates, in general terms, the type and level of work performed as well as the typical responsibilities of team members in this classification. The duties described are not to be interpreted as being all-inclusive to any specific team member. Nothing in this job description changes the at-will employment relationship existing between the Company and team members.
The Essential Job Functions, Physical Requirements, and Work Environment characteristics required are representative of those that must be met to successfully perform the essential functions of this job. Management reserves the rights to add, modify, change, or rescind the work assignments of different positions and to make reasonable accommodations so that qualified team members can perform the essential functions of the job.The above statements are intended to describe the general nature and level of work being performed by persons assigned to this job.These statements are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required.