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Title

Compliance Manager 

Description

Summary:

The Compliance Manager provides an independent and objective review, appraisal, evaluation and verification of operational controls and procedures for all property operational departments. Responsible for documenting compliance reviews and results of reviews, and managing compliance staff.

Essential Duties and Responsibilities:

Include the following (other duties may be assigned):

  • Performs all functions in accordance with applicable laws and Tribal regulations, and objectives of the Entertainment Center, as well as established policies, procedures, and controls.
  • Maintains a working knowledge of Entertainment Center operations and relevant Bingo and Bank Secrecy Act (BSA) issues and regulations.
  • Ensures all BSA requirements, including suspicious activity reporting, are implemented and adhered to. Performs observations, monitors applicable documentation and automated system data and reports deficiencies.
  • Develops BSA training material, as necessary, and participates as a BSA Trainer and ensures that all employees receive training and testing in accordance with the AML Program. Ensures training records are updated and maintained.
  • Executes compliance audit programs and maintains accurate, detailed records of audits. Summarizes findings and management response, which includes corrective action taken to prevent recurrence, in a clear and concise written report for management.
  • Ensures management is notified of control deficiencies and performs follow-up to ensure corrective action is implemented in a timely manner.
  • Reviews all supporting documentation, reports and video footage for SAR Forms remitted to the Compliance Department. Responsible for completing SARs and ensuring review prior to filing SARs electronically.
  • Collaborates with the operational departments to write and/or update effective internal controls and procedures,
  • Serves as a resource for operational departments in addressing compliance issues.
  • Additional duties and responsibilities as assigned.

Supervisory Responsibilities

Carries out supervisory responsibilities in accordance with the organization’s policies and applicable laws. Responsibilities include interviewing, hiring and training employees; planning, assigning, reviewing and directing work; evaluating and appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems.

 
Position Requirements

Qualification Requirements

  • Strong understanding of compliance functions required of the Entertainment Center.
  • Application of Title 31 Reporting requirements
  • Ability to perform assigned duties in highly interruptive conditions.
  • Ability to maintain visual attention and mental concentration for significant periods of time.
  • Ability to analyze and interpret numerical data.
  • Strong oral and written communication skills.
  • Ability to perform assigned job duties under constant time pressures.
  • Ability to sit for extended periods of time.

Education, Training and Experience

  • Bachelor’s degree in business (or closely related field) required.
  • Minimum of five years’ experience in compliance function with minimum three years’ management experience.

Certifications, Licenses, Registrations

CAMS preferred.

Working Environment and Conditions

Performs duties in a well-lighted, ventilated and temperature-controlled office environment. Occasional exposure to a smoke-filled, noisy environment with flashing lights.

 

 
Full-Time/Part-Time Full-Time  

This position is currently not accepting applications.

To search for an open position, please go to http://SpeakingRockEntertainmentCenter.appone.com



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