Compliance Officer

Summary:

Responsible for development, implementation and oversight of compliance programs and other administrative tasks as assigned by Management or the Compliance Committee and ensuring the Property complies with regulatory requirements and internal policies and procedures. This position functions at the same level as a department director.

Essential Functions and Responsibilities:

• Responsible for compliance functions of the organization including oversight of all gaming compliance filings and training.
• Designated as the liaison with Nevada Gaming Control Board and National Indian Gaming Commission personnel.
• Designated as the individual responsible for assuring day-to-day compliance with the Bank Secrecy Act and anti-money laundering requirements, policies and training.
• Designated as the individual responsible for maintaining the program to promote problem gambling awareness and addressing the types and frequency of such training and procedures.
• Conducts reviews of financial statement accounts to ensure reconciliations are accurately completed in a timely manner.
• Maintains business license tracking log and ensures licenses are renewed prior to expiration.
• Reviews Due Dates Logs to assist management with the timely filing of regulatory forms and reports.
• Conducts periodic reviews or audits to ensure compliance procedures are followed in accordance with federal and state gaming regulations as well as company policies and procedures.
• Conducts or directs internal investigation of compliance issues.
• Assesses operational risks and assists in the development of risk management strategies.
• Coordinates with Property leaders to periodically review the system of internal controls and prepares revisions, as necessary, for submission to regulators as well as improving efficiency in operations.
• Coordinates with the Compliance Committee, and in the event of a conflict, reports material concerns to the Committee or its designee.
• Assists Management with responding to internal and external auditors.
• Responsible for reporting exceptions, fraud, acts of wrongdoing, and potential violations of regulations or internal controls to the appropriate levels of management.
• Follows the Property’s code of conduct, policies, and procedures.
• Demonstrates a positive, helpful attitude toward customers and fellow team members.
• Shows a genuine enthusiasm for working in the hospitality/casino industry and/or working with the public.
• Provides outstanding customer service in a timely manner to both guests and fellow team members.
• Performs other duties as assigned.