Compliance Manager (Banking) jobs in Santa Fe, NM

Description

POSITION SUMMARY:

The Compliance Manger ensures compliance with Federal, State and Tribal Gaming Regulations and ordinances as well as compliance with gaming internal controls and policies and procedures as defined by Tsay Corporation. This individual also ensures follow-up on any documentation, correspondence, corrective and/or disciplinary action on formal violations of any of the above with the appropriate Management personnel. The Compliance Manager will establish, review and oversee the implementation of internal controls, as well as tax and tip reporting controls, to ensure compliance with Tribal, Federal and State regulations.  The Compliance Manager will also ensure the protection of all assets and to ensure the integrity of the casino and casino games/gaming devices.  The Compliance Manager prepares regulatory reports as required by Tribal, Federal, State or other governing agencies.  Performs or coordinates all assigned Special Projects.

DUTIES OF THE JOB

PRINCIPLE RESPONSIBILITIES:

• Establishes regulatory compliance programs for Tribal, Federal and State agency programs to include:  Department of Treasury Bank Secrecy Act (Title 31), IRS Form 1099, IRS Form W-2G and other programs as may be required.
• Maintains and performs semi-annual compliance testing; submits results and discusses corrective action to the Casino Management, CFO and Human Resources Manager/Director.
• Maintains a constant and professional interaction and communication with all gaming department heads and personnel regarding compliance and corrective action for non-compliance of Federal, State and Tribal Gaming Regulations as well as gaming internal controls and policy and procedures.
• Perform Quarterly compliance audits as required by Tribal, regulatory and Corp management.
• Develops and conducts regulatory compliance training programs for all applicable Ohkay Casino personnel.
• Reviews compliance and discrepancy reports, Title 31 documentation, statistical reports and a variety of data/documentation generated through daily casino operations to verify accuracy and compliance with established regulatory compliance programs.
• Provides training, guidance, and communication as needed to gaming personnel regarding regulatory and internal control requirements, Title 31, and facility's policies and procedures.
• Investigates instances of non-compliance and ensures that corrective actions are performed to facilitate compliance.  Performs follow-up investigations to ensure ongoing compliance.
• Sets up filing tracking system for all reports and corrective action documentation for any violations.
• Provides monthly reports to the General Manager on violations and other compliance activities.
• Prepares and files reports required by regulatory agencies.
• Ensures sensitive/non-sensitive keys are secured and ensures compliance with all key control standards.
• Examines key authorization, signatory authorization and key control logs and reports discrepancies.
• Must be professional and maintain confidentiality at all times.
• Other duties as assigned.

JOB REQUIREMENTS:

Must have and maintain valid state-issued operator driver’s license.  Individual must be able to work under pressure and the ability to work odd and irregular hours including night and weekend schedules if required.  The ability to travel and participate in training as recommended or required.   Ability to obtain and maintain an Ohkay Owingeh Gaming License at all times of employment   GAMING INDUSTRY EXPERIENCE IS a plus.

Qualifications

EDUCATION/EXPERIENCE:

REQUIRED:

• Must be twenty-one (21) years of age or older

• Bachelor’s degree in Business (Accounting, Finance, Management).  Willing to consider five years casino experience or training or equivalent combination of education and experience.
• Knowledge of Microsoft Excel and Windows mandatory.
• Ability to comprehend regulatory and reporting standards and requirements. 
• Ability to develop updated programs/training programs to comply with changing regulatory requirements.
• Excellent written, oral, and interpersonal communication skills
• Demonstrated ability to present ideas in business-friendly and user-friendly language
• Highly self-motivated, self-directed, and attentive to detail
• Ability to effectively prioritize and execute tasks in a high-pressure environment
• Extensive experience working in a team-oriented, collaborative environment

PREFERRED:

• Knowledge of State Compact
• Knowledge of Federal Regulations
• Knowledge of IGRA
• Knowledge of NIGC
• Johnson Act
• BSA/ Title 31 – Compliance and training
• Knowledge and Experience with Internal Audits
• Creation of Policies and Procedures
• Knowledge of Slot Accounting Systems
• General knowledge of Casino Environment

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 the essential functions.  The employee is frequently required to stand, walk, sit, use hands to finger, handle, or feel, reach with hands and arms, and talk or hear.  The employee is occasionally required to climb or balance, stoop, kneel, or crouch.   The employee may occasionally be required to lift more than 25 pounds. 

WORKING CONDITIONS:

Ability to work in a Casino environment, in the midst of noise, smoke, crowded situations, etc.