| Summary |
Directs and oversees all Compliance related operation activities and initiatives. |
| Essential duties and responsibilities |
The requirements listed below are representative of the knowledge, skill, and/or ability required to perform this job successfully. Upon request, reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- Provide outstanding customer service to guests and all other employees by exceeding our mission statement.
- Responsible for directing the overall operations and staff of the Compliance department.
- Develop and recommend policies and standard operating procedures.
- Monitors effective implementation of all departmental policies and standard operating procedures, makes recommendations as needed.
- Responsible for overseeing the training, implementation and enforcement of the Compliance, BSA/Title 31 and Responsible Gaming Programs.
- Revise and update all Compliance requirements as needed.
- Draft and submit, for regulatory approval, updates to internal control procedures.
- Provide advice and guidance to management on regulatory requirements and Internal Control procedures.
- Serves as liaison to the Gaming Commission and other regulatory agencies as required, as well as ensuring timely responses to inquiries.
- Maintains an open dialogue and positive relations with officials of the Gaming Commission and outside agencies.
- Ensure significant changes to the company’s operating environment (new facilities, system upgrades, gaming mix changes, etc.) are completed in accordance with applicable regulations and with necessary approvals.
- Ensure organized set of detailed records and files to document transaction are kept in accordance with regulations.
- Work closely with Management team to ensure they have a thorough understanding of gaming regulations and general procedures.
- Oversee compilation of reports as required.
- Ensure BDC is informed of new gaming rules and regulation requirements.
- Responsible for ensuring the compliance with all regulatory requirements within area or responsibilities and reporting potential issues to appropriate parties.
- Implement and monitor the effective administration of the AML. Serves as the BSA/Compliance officer.
- Perform annual AML Risk Assessment and revises the AML Program as needed.
- Ensure CTRs and SARs are filed in a timely manner.
- Create and maintain Know Your Customer/Customer Due Diligence profiles.
- Review, identify, evaluate and resolve compliance issues, internal and external audit findings and submit responses of corrective action.
- Ensure compliance with reporting commitments required by the BDC and regulatory agencies.
- Ensure adherence with BDC mandated compliance programs, including Responsible Gaming programs including preparing status report, etc.
- Maintain excellent communications with all Vice Presidents, Directors and Managers.
- Develops and implements approved departmental policies and procedures.
- Responsible for adherence to the company record retention policy.
- Comprehensive understanding of forecasting, budgeting, scheduling, productivity, inventory controls (if applicable), P&L analysis, and cost controls.
- Ensure the budget for the department is monitored and adhered to by implementing effective processes and procedures.
- Prepare necessary data for the budget in area of responsibility; project annual costs and monitor actual results; take corrective action where necessary.
- Keep abreast of competitive changes including industry trends and local competitive set.
- Develop, maintain and nurture a positive work environment.
- Responsible for maintaining a disciplined environment and implement practices that promote safety, quality and productivity.
- Coordinate and supervise training, assignments and development of subordinates.
- Ensure compliance with all Minimum Internal Control Standards (MICS) as well as all Tribal Internal Control Standards (TICS) and NIGC MICS.
- Present a positive image of the Tribal organization to its guests and vendors and to assist them as required.
- Must follow all safety policies and procedures and attend all scheduled safety meetings and training as a condition of employment.
- Able to make difficult decision in a fair and honest manner.
- Strong verbal and written communication skills.
- Perform any other duties that may be assigned from time to time.
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| Supervisory Responsibilities |
Manage directly and indirectly all employees of the Compliance Department. Adhere to the Tribal organization’s policies, procedures and applicable laws.
Responsible for the overall direction, coordination, and evaluation of this unit.
Carry out supervisory responsibilities which include but are not limited to: interviewing and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems. |
| Education And Experience (Must Be Documented): |
- Bachelor’s degree preferred in related field (or equivalent experience).
- Ten (10) years equivalent Supervisory/Management experience.
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| Certification, Licenses And Any Additional Requirements: |
- Must pass periodic random drug screens.
- Must be able to pass background suitability investigation.
- Must obtain a Tribal Gaming License.
- Must obtain all other applicable certifications and licenses.
- Must provide proof of eligibility to work in the United States within 72 hours of employment.
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| Physical Demands: |
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Upon request, reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
While performing the duties of this Job, the employee is regularly required to talk and hear. The employee is frequently required to stand; walk and sit. The employee is occasionally required to use upper extremities, including but not limited to, hands and fingers to handle, or feel; reach with hands and arms. They may be occasionally required to climb or balance, stoop, bend, push, pull, twist, kneel, crouch, or crawl. The employee must occasionally lift up to 25 pounds and/or push, pull up to 50 pounds. The employee is occasionally required use repetitive movements to complete tasks. Specific vision abilities required by this job include close vision,
distance vision, color vision, peripheral vision, depth perception and ability to adjust focus. Employee may be occasionally required to work in low light conditions, and may be exposed to loud noise for extended periods.
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| Working conditions |
| Work Environment: |
The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job.
- Multiple locations.
- Some enterprises are open 24 hours per day, 7 days per week; therefore, you must be flexible to work any and all hours.
- Must be available for emergency calls 24/7.
- Must be available to work weekend and holidays.
- Some enterprises are gaming facilities.
- Some enterprises are not a smoke-free environment.
- Surveillance cameras and audio equipment monitor the premises recording activity throughout most of the facilities on 24 hours per day, 7 days per week basis.
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