The Manager of Compliance is responsible for leading and overseeing the Company’s compliance and Anti-Money Laundering (AML) programs. This position will also assist in implementing the Company’s compliance policies and internal controls to ensure adherence to all applicable Federal and State laws and regulations.
(These functions are intended as a general illustration of the work performed in this job classification and are not all inclusive for this position)
- Develop, maintain, manage, and revise policies and procedures for the general operation of the Company's compliance program and its related activities to prevent illegal, unethical, or improper conduct.
- Coordinate the development, implementation, and submission of all departmental Internal Controls, including all aspects of the Company's Bank Secrecy Act (BSA), AML, and OFAC program management.
- Knowledge and experience with PCI compliance, rules, regulations, policies, procedures, and standards of conduct in connection therewith.
- Assist with the design, implementation, and remediation of AML audit testing.
- Ensure all management personnel and staff are fully knowledgeable and trained on AML risks and Know Your Customer (KYC) requirements.
- Create a culture of compliance and empower team members to act with confidence in reporting areas of potential non-compliance.
- Maintain appropriate Suspicious Activity Report (SAR) investigations and review reporting processes that promote consistent decisions involving proper research and detailed documentation of findings.
- Ensure the Company's policies and procedures for deterring and detecting money laundering are comprehensive, robust, complete, and up-to-date.
- Conduct objective, independent risk assessments to the Company’s compliance with AML and BSA requirements.
- Manage procedures and controls that minimize instances of fraud while protecting information privacy and security.
- Collaborates with other departments (e.g., risk management, internal audit, human resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
- Responds to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures and develops and oversees a system for uniform handling of such violations.
- Keep abreast of all new legislation and jurisdictional regulatory requirements and incorporate any relevant updates to Company policies and procedures.
- Manage the design, development, execution, and monitoring of both core and refresher compliance training programs.
- Establish and implement systems to evaluate current status and future needs for compliance training plans and execute processes to meet and exceed regulatory compliance requirements.
- Ensures proper reporting to relevant agencies as appropriate and/or required.
- Manages other matters and projects as directed by the Vice President and General Counsel.
- Responsible for cleaning and sanitizing work and public spaces.
- Other duties as assigned.
EDUCATION AND /OR EXPERIENCE REQUIREMENTS:
(Related education and experience may be interchangeable on a year for year basis)
- Bachelor’s degree and five (5) to seven (7) years managing compliance in the gaming/casino industry.
- Anti-money laundering law and compliance experience.
- Experience in designing, developing, and conducting compliance training.
- In-depth knowledge of legal and regulatory guidelines impacting the casino industry.
ADDITIONAL REQUIREMENTS: (Licenses, Certifications, Testing, etc):
- Must obtain and maintain valid licenses / certifications per Federal, State, and Gaming regulations.
- Must successfully pass background check.
- Must successfully pass drug screening.
- Must be twenty-one (21) years of age.
- Must be able to obtain and maintain gaming certification or license, as required by law or policy.
- Ability to communicate clearly and effectively in English, both in spoken and written form.
- Strong interpersonal skills with the ability to communicate effectively with guests and other team members of different backgrounds and levels of experience.
- Must be able to respond to issues on nights, weekends, and holidays
The Tribal Council gives first preference in all of its employment practices to members of the Enterprise Rancheria Tribe who meet the job requirements.