Director of Compliance

JOB DESCRIPTION SUMMARY

Manage and direct compliance department to ensure continuing integrity of operations and adherence to applicable laws, rules, regulations, policies and procedures.   

ESSENTIAL DUTIES AND RESPONSIBILITIES (other duties may be assigned)

• Responsible for directing the overall operations and staff of the Compliance department.  Develop, implement and manage department objectives and goals.
• Develops and recommends policies and standard operating procedures. Monitors effective administration of all departmental policies and standard operating procedures; makes recommendations as needed.
• Responsible for assisting in the training, implementation and enforcement of the property Compliance, SARC/Title 31 and Responsible Gaming compliance programs.
• Ensure the payment card industry (PCI) compliance program is developed and implemented to protect card information during and after a financial transaction.
• Ensures compliance with reporting commitments required by regulatory agencies.
• Ensures adherence with company compliance programs, including Responsible Gaming program, including conducting quarterly Responsible Gaming interviews and preparing status reports regarding the Company’s Responsible Gaming program.
• Serves as liaison to the ACBCI Gaming Commission and other regulatory agencies as required, as well as ensuring timely responses to incident and audit reports; review and prepare draft responses to compliance-related issues raised.
• Collaborate with company management and the ACBCI Gaming Commission to ensure significant changes to the company’s operating environment (new facilities, system upgrades, gaming mix changes, etc.) are completed in accordance with regulations.
• Ensures organized set of detailed records and files to document transactions are kept in accordance with regulations.
• Provides guidance to gaming operations and other departments, as needed.
• Conducts in-depth investigation of suspicious activity, as needed.
• Works closely with General Manager and Executive Team to ensure they have a thorough understanding of gaming regulations and general procedures.
• Ensures property is informed of new gaming rules and regulation requirements. Ensures property is in compliance at all times.
• Implements and monitors the effective administration of the property’s AML / Know Your Customer Program.
• Performs the annual Risk Assessment and revises the AML Program as needed.
• Ensure CTRs and SARs are filed timely.
• Reviews, identifies, evaluates and resolves compliance issues, internal and external audit findings and submits responses of corrective action.

SUPERVISORY RESPONSIBILITIES

Compliance Coordinator

ACCESS TO SENSITIVE AREAS AND INFORMATION (ACCRS & SRC)

As per the ACGC access matrix

SIGNATORY ABILITY

Internal Control documents

HR Related Forms     

EDUCATION and/or EXPERIENCE

• Bachelor's degree (B.A. /B.S.) in Business or related field from four-year college or university; five to ten years’ experience in compliance or governmental affairs or equivalent combination of education and experience.
• Casino experience required with extensive knowledge of casino operations, NIGC Minimum Internal Control Standards, Federal and State Regulations pertaining to casinos.
• CAMS Certification preferred.
• Must be proficient in Microsoft applications (World, Excel, and Outlook).
• Must have thorough knowledge of Casino Operations software and equipment.
• Must have excellent organization and communication skills.
• Must possess excellent oral and written communication skills.
• Ability to effectively present information and respond to questions from groups of managers, clients, customers and the public.
• Must have the ability to interact with guests, staff and colleagues and resolve problems and conflicts in a diplomatic and tactful manner.

WORKING CONDITIONS/PHYSICAL DEMANDS

To perform this job successfully, the individual must be able to stand, move and work throughout the office area and properties, including walking up to 1 ½ mile, climbing stairs and sitting at a desk/workstation for the duration of the shift.  Also, may be subjected to a smoke-filled environment.

Typically, the individual will be housed in an office environment.  The noise level in the work environment is usually moderate but will escalate when located in the casino environment.  Must be able to grasp, bend, lift and/or carry or otherwise move goods weighing a minimum of 25 lbs. on an intermittent basis, and sufficient dexterity of hand in order to use office equipment including, but not limited to:  a computer keyboard, calculator, general office equipment and multi-line telephone.