Compliance Manager - Title 31

SUMMARY:   

Under the direction of the Director of Operational Compliance, the Title 31 / Compliance Manager is responsible for coordinating and monitoring day-to-day Anti-Money Laundering (AML) compliance.  The Title 31 / Compliance Manager develops, implements, reviews, updates, administers, and maintains the AML Program and other compliance related solutions to ensure full compliance with AML related laws and regulations.  Assists with drafting, developing and implementing of sound internal controls, operating procedures, personnel policies and processes.  Assists with analyzing various aspects of operations, and conducts test audits for management to assess the effectiveness of said controls, operations, and the accuracy of records, to ensure compliance with all applicable laws and government regulations.

  ESSENTIAL DUTIES & RESPONSIBILITIES:

• Develops the AML Program of policies, processes, and internal controls reasonable designed to assure full compliance with AML laws and regulations.
• Educate and train appropriate personnel for compliance with AML laws and regulations under the AML Program.
• Conduct and document risk assessments.
• Ensure accurate recordkeeping and reporting under the AML Program and as required by local, state and federal regulatory agencies, including the review of Currency Transaction Reports (CTRs) and filing of Suspicious Activity Reports for Casinos (SARCs).
• Develop, implement, and administer monitoring systems to ensure that appropriate parameters are in place to detect and identify suspicious activity.
• Ensure that suspicious activity is investigated, reviewed and reported.
• Coordinate and cooperate with an independent review of the AML Program.
• Ensure that OFAC systems are present, updated, and periodically tested, and handle the correct treatment of positive OFAC matches.
• Manage and direct Compliance Assistant.
• Acts as liaison with the Tribal Gaming Agency. 
  • • • Must have knowledge of the Tribal Gaming Code, State Gaming Compact, and federal gaming regulations. 

• • • • Through regular audit procedures, ensures that the facility is operating within the scope of state and federal business guidelines, the Tribal Gaming Code and State Gaming Compact regulations. 
      • Observes, tests, analyzes operations and reports any inadequacies to the Director of Operational Compliance. 
      • Coordinates and completes special projects or studies.  
      • Must possess the ability to establish department policies and procedures for internal controls, and to regularly audit all areas of the operation for compliance. 
      • Must be able to analyze various aspects of the operation, assess the proper accountability, and conduct random inventories and audits. 
• Must be able to prepare and present analyses, audit findings, observations, and recommendations to the Director of Operational Compliance.

•  Ability to work flexible hours, shifts, or days as determined by business demands.

• Maintain compliance and always adhere with all applicable laws, gaming regulations, internal controls, Employee Handbook, and policies and procedures.
• Complies with BlueWater Resort & Casino rules and regulations and ensures that all employees are in compliance, and complies with Federal, State and Tribal laws. 
• Ensure compliance with company and OSHA safety standards.
• All other duties as assigned and / or directed (maintaining segregation of duties).

KNOWLEDGE, SKILLS & ABILITIES:

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.  All Employees must be knowledgeable to all Company policies and procedures.

• Must have excellent working knowledge, a strong understanding and comprehension of all relevant Title 31/Anti-Money Laundering laws and regulations, gaming audits and casino operations. 
• Must have ability to promptly respond to common inquiries, complaints or requests from various internal and external parties in a professional manner. 
• Computer proficiency in Microsoft Word, Outlook and Excel is required. 
• Must have ability to read and interpret documents such as internal controls and manuals and have ability to write reports and correspondence.
• Excellent communication, organization and detail oriented.
• Must be able to maintain organization and meet deadlines. 
• Must possess a high level of integrity and discretion in handling confidential information. 
• Must have general office skills and ability to use standard office equipment. 
• Strong interpersonal skills with the ability to work independently, as well as, collaboratively within a team environment.  
• Must have demonstrated ability to maintain satisfactory working record in any prior or current employment.

QUALIFICATIONS & REQUIREMENTS:

• Bachelors Degree preferred.  Minimum of 4 years prior experience in compliance and/or related field is required.
• Extensive knowledge of Bank Secrecy Act / Anti Money Laundering / USA PATRIOT Act, OFAC Regulations.
• Must have an in depth knowledge of hotel and gaming operations.  Experience working with management and regulators on audits and findings.   

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 the job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Must be able to sit and stand as well as move through all areas of the casino.
• Requires close and distance, as well as color vision, and the ability to adjust focus.
• Maintain physical stamina and proper mental attitude to work under pressure in a fast paced, casino environment and effectively deal with customers, management, employees and in all situations.
• The position may require the individual to work days, nights, weekends and holidays. 
• Requires occasional lifting and / or moving of objects up to 25 lbs.

WORK ENVIRONMENT:

• Indoor office environment.  This position regularly works indoors. 
• The noise level in the work environment is generally quiet to moderate and may become excessively noisy at times.  
• Will have contact with employees, external agencies and the public.

ACCESSIBILITY: 

• At the discretion of the Tribal Gaming Agency, appropriate license required.

Disclaimer: The duties and responsibilities identified in this position description are illustrative only and are in no way intended to be a complete list of activities that may be required of an incumbent.  The information contained in this job description is for compliance with the American Disabilities Act (ADA) and is not an exhaustive list of duties performed for this position.  Additional duties are performed by the individual currently holding this position and additional duties may be assigned.