Compliance Manager

3 weeks ago

Oak Grove, United States WKY Development LLC Oak Grove Full time
Job DescriptionJob Description

SPECIFIC DUTIES AND RESPONSIBILITIES

The work environment characteristics described here are representative of those a Team Member encounters while performing the essential functions of this job with or without reasonable accommodations. This list of duties and responsibilities is not intended to be all-inclusive but a general illustration. It may be expanded to include other duties and responsibilities deemed necessary.

  • Reports to the Company’s Corporate Compliance Officer and Property Sr. Director of Finance.
  • Develops, implements, and maintains internal controls, standard operating procedures, and regulations for state and federal agencies.
  • Review multiple daily transaction logs and negotiable instrument logs from various sources and ensure complete and accurate aggregation of transactions for BSA/AML reporting.
  • Provides oversight and guidance to departments that perform BSA/AML-related tasks.
  • Administers BSA/AML training to relevant gaming team members and ensures compliance with BSA/AML recordkeeping requirements.
  • Ensures the safety and security of all team members and guests through active leadership on the Safety Committee.
  • Corresponds and communicates with state regulators and other licensing bodies.
  • Reviews operations as well as regulatory and compliance activities with the Sr. Director of Finance and the Corporate Compliance Officer to determine Company compliance and recommend improvements to management controls.
  • Meets with departmental directors and managers as necessary; raises awareness among department directors and managers of any changes in gaming operations and AML regulations.
  • Coordinates audits and reviews audit reports to ensure recommendations for improvement have been addressed.
  • Manages the Company’s initiatives regarding problem and compulsive gaming, including drafting and implementing the Company’s responsible gaming plan.
  • Knowledge of state, local, and federal laws pertaining to gaming operations, alcoholic beverage service, and risk.
  • Supports the safety initiatives with the OSHA requirements.
  • Designated as the BSA Compliance Officer responsible for day-to-day compliance with the Bank Secrecy Act and anti-money laundering program
  • Manages necessary requirements to maintain business permits and licensing.
  • Other duties as assigned.

STANDARDS OF PERFORMANCE

  • Management abilities demonstrated in managing assigned duties.
  • Maintaining interpersonal working relationships among all personnel.
  • Oral and written communication skills.
  • Willingness to assume overall responsibility relative to the performance of regulations and compliance.
  • Available to work when needed, including weekends, holidays, and nights.

EDUCATION, TRAINING, AND EXPERIENCE

  • Three to five years of experience in a compliance, regulatory, or analytical position with a 2-year degree in a related field or equivalent work experience is preferred
  • Experience in managing AML duties in the gaming industry is highly preferred.
  • Licenses & certifications preferred include TIPS, Responsible Gaming, and ICGIP, GAMS, or other AML certification is highly preferred.
  • Advanced working knowledge of BSA, OFAC, and the USA Patriot Act is preferred.
  • Knowledge of Kentucky racing and HRM laws and regulations is preferred.
  • Strong Microsoft Word and Excel skills are required.
  • Able to obtain and maintain a valid Kentucky gaming/racing license

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 essential functions. While performing the duties of this job, the employee is frequently required to sit or stand; walk; use hands to finger reach, handle, or feel objects, tools, or controls; reach with hands and arms; climb or balance; stoop, kneel, crouch, or crawl; and talk or hear. The employee may also be required to lift, push, and pull up to 25lbs. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions. The noise level in the work environment is usually moderate to loud. The employee is subjected to circulate throughout the assigned areas, including the smoking area, actively observing players and the functioning of machines.

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