Compliance Officer

SUMMARY: The Compliance Officer is the team member assigned the function of ensuring compliance with Title 31, inclusive of related aspects of FinCEN, BSA, AML, OFAC.
Responsible for maintaining an ongoing system of training, monitoring, and auditing, as well as submitting required forms to government agencies including e-filing CTRs and SARs.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following: Manages the day-to-day operation of the Title 31/AML/BSA Compliance program and ensures deadlines are met for reportable items.
Establishes and maintains proactive training and testing programs pertaining to Title 31.
Conducts due diligence as necessary on prospective and/or current customers and recommends risk mitigation solutions as needed.
Evaluates and updates AML Risk Assessment.
Responsible for chairing the Compliance Committee and conducting meetings with committee members regarding Title 31 reports and concerns.
Participates in the Title 31 External Audit process.
Under the direction of the CFO, acts as liaison with government agencies, as well as with external auditors and coordinates with Casino Management to ensure any findings are satisfactorily resolved in a timely manner.
Remains educated and informed on any new guidance or updates from Federal agencies as well as with internal controls and/or policies and procedures.
Coordinates with Casino Management to ensure all applicable regulatory changes are properly communicated and implemented by established deadlines.
Adheres to the Golden Acorn Casino's Policies and Procedures and internal controls.
Other duties as assigned.
QUALIFICATION REQUIREMENTS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.
The requirements listed below are representative of the knowledge, skill, and/or ability required.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Must be knowledgeable of Title 31 regulations and NIGC standards.
Must have strong leadership skills.
Must be able to maintain positive relationships with team members, and management and provide assistance and/or guidance in a friendly, constructive and helpful manner.
Must have skills in researching data, identification of matters of concern and recommending appropriate action.
Must be able to relay recommendations clearly and concisely.
Must have ability to interpret data, records, reports and thoroughly understand forms and instructions.
Must be able to work independently on assigned projects and be detail oriented.
Must be able to maintain a high degree of confidentiality Must be able to interact with diverse groups in a professional manner Excellent analytical, organizational and writing skills are essential Must exercise good judgment and tact when applying knowledge of regulations and policies to a variety of situations Must possess excellent interpersonal and communication skills Ability to read and interpret laws and regulations Intermediate level of Word, Excel and Power-Point is preferred Must be able to communicate effectively with guest and employees in English EDUCATION and/or EXPERIENCE: High school diploma or GED required.
Bachelor's degree preferred, comparable work experience may be considered.
Progressively responsible managerial experience in Casino finance preferred.
Minimum two (2) years of experience in the Gaming or Banking industry dealing directly with Title 31/BSA compliance.
Equivalent experience in a closely related field with equal responsibility may be acceptable.
Must have AML certification or be able to attain it.
MATHEMATICAL SKILLS: Ability to add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions, and decimals.
REASONING ABILITY: Must exercise good judgment when applying knowledge of regulations and policies to a variety of situations.
Requires the ability to apply commonsense understanding to carry out instructions furnished in written, oral or diagram form.
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.
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 frequently required to stand; walk; use hands to finger, handle or feel; reach with hands and arms; and talk or hear.
The employee must frequently lift and/or move up to 50 pounds.
The employee is occasionally required to climb or balance, and stoop, kneel, crouch or crawl.
Specific vision abilities required by this job include close, distance, color and peripheral vision, depth perception and ability to adjust focus.
WORK ENVIRONMENT: The work environment characteristics described here are representative of those an Employee encounters while performing the essential functions of this job.
The Casino environment is hectic, fast-paced and often noisy.
Employee may be exposed to casino -related environmental factors including, but not limited to: second-hand smoke, excessive noise and constant exposure to the general public.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.