Director of Compliance

Reports to:

General Manager

Job Summary:

The Director of Compliance is responsible for the administration of the Compliance Department and development of compliance programs which align with the business objectives of the organization, protect company assets, protect the integrity of the casino, and conform to all Federal and Tribal laws, regulations, ordinances and approved company policies and procedures.

The Director of Compliance will work closely with middle management to identify, recommend, develop, implement, and support efficient, cost-effective compliance solutions for all aspects of the organization.

Essential Functions:

• Ensure compliance with the applicable Tribal, Federal and other laws and gaming regulations and Kickapoo Lucky Eagle policies and procedures.
• Ensure the highest possible standards of guest services by properly listening and responding to guest and team member concerns and questions.
• Directs the Compliance Department and trains staff in the Bank Secrecy Act, IRS regulations, Federal reporting requirements, risk assessment, internal controls, policies and procedures, casino practices, compliance audits, analysis and interpretation of automated system data reports.
• Reviews and develops interdepartmental policies and procedures and internal controls to ensure conformity with Federal and Tribal Regulations, including Tribal Internal Control Standards, NIGC Minimum Internal Control Standards, IRS regulations and Kickapoo Traditional Tribe of Texas Gaming Commission Regulations.
• Analyzes all gaming activities, accounting processes and casino records to evaluate compliance with all Federal and Tribal laws, regulations, ordinances and approved procedures.
• Examines and evaluates the adequacy and effectiveness of policies and procedures and the system of internal controls, the accuracy of financial records/reports and the efficiency of the activities being performed.
• Collaborates with various external agencies (IRS, NIGC, and Tribal Gaming Authority), external auditors and executive management personnel on a regular basis.
• Advises casino management and makes recommendations in regards to all aspects of compliance issues, internal controls, policies and procedures and practices.
• Ensures compliance reviews are performed and documented to identify material and immaterial weaknesses. Reviews include but are not limited to: covert observations, examination of documentation, employee interviews, completion of audit checklists, documentation of exceptions, management notification, recommendations for corrective action and follow-up.
• Reviews exception reports prepared by Internal Auditors, External Auditors, NIGC, and IRS, investigates instances of non-compliance and collaborates with management to ensure corrective action plans are established and implemented. Prepares a management response and performs follow-up to ensure compliance.
• Performs risk assessments at least annually or when changes in the operational risk profile affect the operations perceived risks.
• In accordance with FinCEN regulations, develops Compliance programs which are designed to mitigate risks inherent with specific business products and services offered, guest base, geographic location, etc.
• Develops the Title 31 Training Program and collaborates with training staff to implement and monitor the training of all casino employees, including new casino employees, and the continuing education of all employees in Title 31 Regulations.
• Ensures Title 31 regulatory reports (CTRs, SARs) are prepared, filed and retained as required by Federal regulations.
• Ensures completed Title 31 documentation and automated system data is reviewed and exceptions reported.
• Reviews and approves reports and/or Notices of Non-Compliance prepared by Compliance staff.
• Responsible for hiring and training processes, performance reviews, employee professional development, solid employee support systems for subordinates, implementing employee behavior corrective action and termination of employment within the Compliance Department.
• Actively keeps abreast of the latest gaming industry regulatory changes or developments and ensures that casino executive management is informed.
• Plans and prepares the department budget to meet organization objectives and manages expenditures.
• Provides brief reports which include the status of compliance plans, issues, resolutions, updates or changes, department activities and staffing to the General Manager.
• Demonstrate and promote KLECH core values and MAD skills
• Manage and maintain security of confidential information entrusted to position.
• Attend and satisfactorily complete all required training as assigned.
• Monitor compliance with Federal currency transaction reporting requirements, Title 31 requirements and IRS Currency Transaction Reports and property established Anti-Money Laundering policies. Maintain accurate MTL, MIL, CTR and SAR as needed.
• The essential functions listed above are not an all-inclusive list but rather a general representation of the duties and responsibilities pertinent to this position. The duties and responsibilities will be subject to change based on organizational needs and/or deemed necessary by the Director.
• Perform other duties as assigned.

Minimum Requirements to Qualifications:

• Bachelor's degree from a four year college or university required. Three (3) years' experience in all aspects of Casino compliance; or five to seven (5-7) years' experience in all aspects of casino compliance required.
• Three (3) years' management experience required.
• Previously served as Director of Compliance at another tribal casino preferred.
• Strong communication skills in English both written and oral. Spanish or other language skills a plus.

Other Criteria:

Qualified Kickapoo Traditional Tribe of Texas Members and qualified Native American preference is observed.

Skills and Abilities:

• Ability to work independently with minimal supervision.
• Ability to maintain effective relationships with the General Manager, Directors, Managers and all staff.
• Ability to work under pressure in a fast paced, stressful environment.
• Ability to meet multiple deadlines and multi-task.
• Ability to have strong critical thinking, analytical and guest service skills.
• Must possess a positive attitude with strong organizational and leadership qualities.
• Ability to add, subtract, multiply and divide in all units of measure.
• Ability to define problems, collect data, establish facts and draw conclusions.
• Ability to understand complex instructions and material.
• Ability to establish and maintain professional relationships with individuals of varying social and cultural backgrounds and with co-workers of all levels.
• Ability to work effectively with individuals and demonstrate leadership and team building skills with empathy and enthusiasm.
• Ability to maintain confidentiality.
• Ability to follow and comply with established Casino guest service programs.

Physical Demands:

• While performing the duties of this position, the team member is regularly required to stand, sit, walk, push, pull, bend for extended periods; reach with hands and arms; talk and listen on a regular basis.
• The team member must be able to concentrate for prolonged periods.
• Specific vision abilities required by this job include close vision, distance vision, peripheral vision and depth perception.
• The team member must be able to communicate effectively in person or using telecommunications equipment.
• The team member must have the hand-eye coordination and manual dexterity to operate a keyboard, touch-screen display, telephone and calculator.

Work Environment:

• Normal office setting and casino floor.
• Frequent walking and standing in a smoke filled environment and frequent contact with the general public.
• Temperature controlled environment with varying noise levels. May be exposed to high levels of noise throughout the day.
• Extended hours and irregular shifts may be required including nights, weekends and holidays.
• Must be able to perform under pressure and work long hours under stressful conditions.
• May be exposed to the risks associated in attempting to resolve issues with difficult guests and extremely irate staff members.
• May be exposed to various types of lighting including, but not limited to: artificial fluorescent lights, flashing lights, strobe lights, multiple colored lights, etc.
• Travel may be required to perform one or more essential functions of this position.

Conditions of Employment:

• Must be able to obtain and retain a KTTT Gaming Commission License, including successful completion of background check necessary to obtain and maintain license. Responsible to keep all documents current and valid at all times.
• Must be able to provide authorization to work in the United States.
• Must be at least 18 years of age.
• Must have access to reliable transportation to commute to and from work.
• Must comply with KLEC handbook, internal policy and procedures, and gaming regulations set within KLEC.
• Must participate in tip reporting program. [For tipped positions only.]