Compliance Officer

Pawnee Tribal Development Corporation Job Description Position Title: Compliance Officer Department: Gaming Reports To: Director of Compliance FLSA Designation: Non-Exempt SUMMARY: The Compliance Officer is responsible for monitoring and reporting results of the compliance efforts of the company and in providing guidance for the senior management team on matters relating to compliance.
The Compliance Manager is authorized to implement all necessary actions to ensure realization of the objectives of the company’s Compliance Program.
The position oversees the Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance matters within the company.
ESSENTIAL DUTIES AND RESPONSIBILITIES: Other duties may be assigned.
• Provides excellent guest service for all external and internal customers of the Casino operations at all times and in all activities.
• Oversee compliance with the BSA, Title 31 and AML program throughout PTDC gaming properties.
• Review and conduct audits of each department to assure knowledge and compliance of internal controls and/or the BSA, Title 31 and AML program requirements.
• Make recommendations for necessary changes to internal controls and/or the BSA, Title 31 and AML program requirements to be presented to the Director of Gaming for approval.
• Stays current with all updated changes/requirements released by Federal government agencies of the BSA, Title 31 and AML program requirements.
• Collaborates with other departments and agencies to direct compliance issues to appropriate channels for investigation and/or resolution.
• Acts as an independent review and evaluation body to ensure that compliance issues and/or concerns within the organization are being appropriately evaluated, investigated, resolved and reported to the Director of Gaming.
• Identify potential areas of compliance vulnerability and risk.
Provides general guidance and helps develop and implement corrective action plans for resolution of vulnerabilities and risks.
• Provides reports on a regular basis and/or as directed, to keep the Senior Management informed on the operation’s compliance efforts.
• Ensures proper reporting of violations or potential violations to the Director of Gaming and Senior Management and/or duly authorized enforcement agencies as appropriate and/or required.
• Institute and maintain an effective compliance communication program for the organization, including promoting the understanding of new and existing compliance issues and related policies and procedures.
• Work with the Human Resources Training Department and others as appropriate, to develop an effective compliance training program which includes introductory training for new employees as well as ongoing training for existing employees and managers.
• Other related issues, duties and/or responsibilities as assigned by the Director of Gaming.
• Process or assist in processing of CTRs and SARs through the BSA E-Filing system.
• Provide training and guidance as needed to gaming personnel regarding regulatory BSA, Title 31 and AML program requirements.
SUPERVISORY RESPONSIBILITIES: None.
JOB REQUIREMENTS, 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, physical stamina, and/or ability required.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
• Thorough understanding of all relevant BSA, Title 31 and AML requirements, laws and regulations with regards to Casino operations • Strong knowledge of computer software including but not limited to, Microsoft Office, Ditronics, Casino Trac, Intacct with the ability to generate documents, reports and perform data tracking.
• Excellent oral and written communication skills with the ability to produce general and investigative reports.
• Ability to learn applicable Gaming Ordinances, State Compact, Federal Minimum Internal Control Standards (MICS), Tribal Internal Control Standards (TICS), System of Internal Controls (SICS) and Policies and Procedures related to the gaming operation.
• Must be able to handle busy and stressful situations, prioritize and manage several tasks simultaneously.
• Must be flexible with shifts and days off.
• Must be able to work with all department Directors/Managers, GM, CEO, COO and Gaming Commission staff and display tact when dealing with conflicts associated with regulatory matters.
• Strong organizational and analytical skills.
• Strong organization, problem-solving, and leadership skills.
EDUCATION and/or EXPERIENCE: • GAMING INDUSTRY EXPERIENCE IS REQUIRED.
• Bachelor’s degree in Accounting, Business Administration or related area from a four-year college or university.
• Three (3) years of casino regulation compliance which includes BSA (Bank Secrecy Act), Title 31, AML (Anti-Money Laundering) compliance.
• Strong Internal Audit background with Certified Internal Audit preferred.
CERTIFICATES, LICENSES, REGISTRATIONS: Must be able to obtain key gaming license through the Pawnee Nation Gaming Commission.
LANGUAGE SKILLS: Ability to read and interpret documents such as reports, business plans, business correspondence, and procedure manuals.
Ability to effectively present information and respond to questions from groups of managers, clients, customers, board members, and the general public.
Ability to write routine correspondence.
MATHEMATICAL SKILLS: Ability to apply advanced mathematical concepts such as probability and statistical inference, and fundamentals of plane and solid geometry and trigonometry.
Ability to apply concepts such as fractions, percentages, ratios, and proportions to practical situations.
Ability to apply financial concepts such as compound interest, time value of money, tax rates and discounts.
REASONING ABILITY: Ability to apply common sense understanding to carry out instructions furnished in written, oral or diagram form.
Ability to deal with problems involving a few concrete variables in standardized situations.
Ability to influence and persuade to achieve desired outcomes.
OTHER SKILLS and ABILITIES: Strong analytical and organizational skills.
Knowledge of business and management principals.
Must maintain professional behavior and possess exceptional customer and employee service skills at all times.
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.
While performing the duties of this job, the employee is almost continuously required to sit, and talk or hear.
The employee is occasionally required to reach with hands and continuously repeat the same hand, arm, or finger motion many times as in typing.
The employee will frequently interact with other staff members.
Specific vision abilities required in this job include close vision, depth perception, and the ability to adjust focus.
The employee may occasionally lift up to 25 pounds, such as boxes of paper.
Mobility to move around all corporate properties.
WORK ENVIRONMENT: The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Normal office environment along with frequent computer use.
At times, will require occasional standing and speaking.
Exposure to a smoke-filled environment with loud and continual noise levels.
Must keep all information confidential.
PREFERENCE: Members of the Pawnee Nation and other Native American Tribes who are qualified applicants are encouraged to apply and will be given preference in accordance to established procedures.
RESTRICTIONS: This position is prohibited from playing all casino games while on or off duty.
Employees and members of the household are prohibited from entering company contests and giveaways established for our guests.
The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.
Qualified applicants must successfully complete a pre-employment drug screen.
Applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, genetic information, sexual orientation, gender identify or expression, pregnancy, protected veteran status or other statues protected by law.
As a Native American owned corporation under the jurisdiction of the Pawnee Nation, Pawnee Tribal Development Corporation reserves the right to give preference in hiring and promotions to members/citizens of federally recognized tribes in accordance to TERO (Tribal Employment Rights Office) law.