Assistant Director of Compliance - Kickapoo Lucky Eagle Casino
Eagle Pass, TX
About the Job
Reports to:
Director of Compliance
Supervises:
Compliance Officer, Compliance Analyst, Compliance Technician
Job Summary:
The Assistant Director of Compliance is responsible for assisting with the administration of the Compliance Department, development of effective compliance programs which conform to Federal, Tribal and casino laws, regulations, ordinances and policies and procedures and monitoring of casino activities to evaluate compliance with established controls.
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.
- Supervises day-to-day activities and assigns and directs work.
- Provides training, planning, interviews and hires; appraises performance, rewards good performance and issues corrective action; corrects and approves time cards, schedules time off, and posts shift bids; and addresses complaints and resolves problems.
- Directs and trains Compliance Department staff on, but not limited to: the Bank Secrecy Act, IRS regulations, Federal reporting requirements, internal controls, policies and procedures, casino best practices, compliance audits, and analysis and interpretation of automated system data reports.
- Collaborates with training staff to maintain the Title 31 training program, including updating training and testing material when necessary. Monitors training records to ensure training of all casino team members, including new casino team members, and the continuing education of all team members in Title 31 Regulations.
- Manages the compliance audit program, including scheduling and performing compliance audits and ensuring scheduled deadlines are met. Maintains accurate, detailed records of audits, exceptions, management response, recommendations to improve processes and corrective action. Ensures follow-up is performed and evaluates effectiveness of remedial action.
- Ensures Compliance staff complies with the Anti-Money Laundering Program and all department standard operating procedures. Reviews internal and regulatory reports (CTRs and SARs) for completeness and accuracy prior to filing and ensures record retention meets federal requirements.
- Use the incident tracking and reporting system to identify and review Surveillance, Security/Casino Police and Inspector Incident Reports related to internal control violations and reportable activity (CTR and SAR).
- Oversees issuing of exceptions for violations of Tribal (Tribal Internal Control Standards (TICS), KGC Regulations), Federal (IRS, OFAC, FinCEN) and casino regulations, internal control standards, and policy and procedures, including review of such prior to issuing to KLEC management.
- Oversees the TIN Matching program.
- Serves as the Chair of the Compliance Committee and generally directs the business of the Committee. Schedules and prepares Agenda's for Compliance Committee meetings and prepares communications (e.g., opinions regarding filing of SARs, recommendations relative to IRS informational reporting, NIGC Fee, Tip Agreement reports, risk assessments, etc.) on behalf of the Committee.
- Builds and maintains an excellent rapport with all levels of the organization and external agencies/departments (Tribal Gaming Authority, Tribal Gaming Commission, Surveillance, Security, Internal Auditor, external auditors, IRS, NIGC) and collaborates with them as necessary to meet company expectations and goals.
- Assists with performance of risk assessments at least annually or when changes in the operational risk profile affect the operations perceived risks.
- Assists subordinates with establishing realistic goals and provides a solid support system and a motivating environment which fosters personal growth and professional development.
- Attends external seminars and identifies training opportunities for subordinates, including webinars, to ensure Compliance staff is knowledgeable and actively keeps abreast of the latest gaming industry regulatory changes or developments. Also ensures that casino executive management is aware of changes.
- Identifies and informs Director of Compliance of problems, unusual activities, team member issues, findings, and corrective action in a timely manner, recommends action plans and follows up as necessary.
- Serves as a resource for casino departments in addressing compliance issues.
- Facilitates efficient operations with minimal interruptions by procuring office supplies and equipment and placing maintenance and IT work orders as needed.
- Oversees record retention and destruction to ensure all applicable standards are met.
- Reviews internal and external auditors' reports and works closely with casino management to ensure implementation of appropriate corrective action.
- Assists with the development and revision of policies and procedures which conform to federal and tribal regulations including the minimum internal control standards and the tribal internal control standards.
- Applies or uses information, skills, techniques or systems in accordance with information acquired in required training sessions.
- 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 an accredited college or university with five years related experience (i.e., anti-money laundering, regulatory compliance, internal audit), including at least two years of supervisory or management experience, or three years of completed college courses and 6 years anti-money laundering/regulatory compliance experience, including at least two years of supervisory or management experience.
- Experience with Class II gaming, accounting, auditing, policy development, risk assessment and regulatory programs, research, and training preferred.
- Education in gaming management, business administration or accounting 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 effectively present information to senior management and/or small groups.
- Ability to mentally process abstract ideas.
- Must be results oriented and have the ability to set and measure SMART goals.
- Ability to work under pressure in a fast paced, stressful environment.
- Ability to meet multiple deadlines and multi-task.
- Ability to use standard office equipment and conduct presentations.
- Ability to navigate and utilize multiple computer applications and systems concurrently to gather and analyze large sets of data.
- Ability to have strong critical thinking, analytical, problem solving, 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 read, analyze and interpret 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.
- Frequently lift and/or move up to 30 lbs.
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.