Director Of Compliance

SUMMARY

The Director of Compliance plays an integral role within the Company and will lead a small team of Compliance Specialists in multiple jurisdictions ensuring adherence to both state gaming regulations and federal AML responsibilities.   The Director of Compliance will oversee multiple and key projects within the department, provide oversight of personnel and their projects and responsibilities, implement methods to monitor, evaluate and provide suggestions and solutions with an eye towards continued progress and improvement within the department.  All duties are to be performed in accordance with Company policies, practices, and procedures.

ESSENTIAL DUTIES AND RESPONSIBILITIES – Other duties may be assigned:

• Safeguards Company assets.
• Responsible for creating a culture of Compliance and empowering employees to act with confidence in reporting areas of potential non-compliance 
• Maintains a working knowledge of the Internal Controls Standards (ICS) in the jurisdictions where the Company operates. 
• Reviews audit findings (Gaming, Internal Audit, and AML) and coordinates responses in conjunction with responsible casino personnel and Compliance Specialists.
• Reviews updates and industry notices issued by Gaming Regulators in each jurisdiction.   Advise VP of Compliance of potential impacts to local casinos.
• Assist with the preparation and completion of the MGC, IRGC and DCI license renewal requirements regarding the Midwest properties.
• Reviews Suspicious Activity Incident Reports (SAIRs) as a member of the SAR Committee.
• Maintains and communicates regularly with Compliance Specialists at each property and escalates any areas of concern to the VP of Compliance.  Occasional travel to MW properties as needed.
• Train and develop Compliance Specialists to engaged with property personnel and ensure Responsible Gaming literature is displayed
• Supplemental training for FOH employees related to identifying suspicious activity and how to report it.
• Periodically reviews the T31 testing results as prepared by the Compliance Specialists
• Responsible for reviewing the monthly KYC as performed by the Compliance Specialist and raising concerns to the VP of Compliance.
• Oversight of patron Enhanced Due Diligence reviews. 
• Oversight of Vendor and Lessee Due Diligence process and results.
• Maintain an organized system of record keeping for all applicable reports and documents.
• Maintains proficient knowledge of the gaming regulations and Title 31.
• Ability to prioritize projects, adhere to deadlines, work independently, and use critical thinking to analyze data.
• Understands the legal and regulatory environment in which the Company conducts business.
• Responsible for the annual submission of the Nevada Minimum Internal Control Systems.
• Prepare and submit regulatory annual, semiannual and quarterly reports as required.
• Provides oversight for the Company’s Whistle Blower Hotline and AML Barred Patron program.
• Quarterly prepares and presents materials to the Compliance Committee in accordance with the Company’s Compliance Plan.

SUPERVISORY RESPONSIBILITIES 

The Director of Compliance is responsible for developing the team of Compliance Specialists at each property in all jurisdictions to be competent at Title 31 audits, Title 31 testing, ICS, SORs, KYC, record keeping, Title 31 training and regulatory testing where applicable.

QUALIFICATIONS  

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below represent the knowledge, skills, and/or abilities required. 

All Employees must be knowledgeable of all Company policies and procedures, including fire and safety regulations.

EDUCATION and/or EXPERIENCE 

Must have a minimum of five (5) years in gaming and three (3) years managing others in a gaming environment, knowledge of gaming regulations and MICS, (at least in Nevada) and complete understanding of the Bank Secrecy Act, Chapter X, Title 31.  Bachelor Degree and CAMS preferred.  

CERTIFICATES, LICENSES, REGISTRATIONS 

Must be able to obtain and maintain Missouri Gaming Commission Level 2 License and Nevada Gaming Registration.

SKILLS 

• Ability to work in a timely and detailed manner while working in a high-paced environment. 
• Must be able to effectively communicate in English in all manners. 
• This position is responsible for report writing and data compilation. 
• Advanced mathematical comprehension required. 
• Must have Microsoft Office and Excel experience. 

DISCLAIMER: This job posting is intended to describe the general nature of this position. It is not intended to be an exhaustive list of all responsibilities, duties and skills required. Employee benefits may vary by location, position, length of service and employment status. Final candidates will be required to complete a drug test and background check. Many positions will require a state gaming license. Affinity Gaming is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, national origin, gender, age, religion, disability, sexual orientation, veteran status, or marital status. 

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