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ProfileDirector of Compliance The candidate: Manage and direct compliance departments at firm to ensure continuing integrity of operations and adherence to applicable laws, rules, regulations, policies and procedures. Responsible for directing the overall operations and staff of the Compliance department. Develops, implements and manages operational goals and monitors achievements of performance objectives. Develops and recommends policies and standard operating procedures. Monitors effective administration of all departmental policies and standard operating procedures; makes recommendations as needed. Responsible for assisting in the training, implementation and enforcement of the property Compliance, SARC/Title 31 and Responsible Gaming compliance programs. Revise and update the SOX requirements. Drafts and submits, for regulatory approval, updates to internal control procedures for the Aurora and Joliet properties. Provide advice and guidance to management on regulatory requirements and Internal Control procedures. Serves as liaison to the Illinois Gaming Board and other regulatory agencies as required, as well as ensuring timely responses to incident and audit reports; review and prepare draft responses to compliance-related issues raised. Maintains an open dialogue and positive relations with officials of the Illinois Gaming Board. Oversees preparation of annual license renewal submissions to the Illinois Gaming Board. Collaborate with company management and the Illinois Gaming Board to ensure significant changes to the company’s operating environment (new facilities, system upgrades, gaming mix changes, etc.) are completed in accordance with IGB regulations and with the necessary approvals. Ensures organized set of detailed records and files to document transactions are kept in accordance with regulations. Works closely with General Manager and Executive Team to ensure they have a thorough understanding of gaming regulations and general procedures. Oversees compilation of reports for the Illinois Gaming Board and submits necessary paperwork on behalf of the property, as needed. Ensures property is informed of new gaming rules and regulation requirements. Responsible for ensuring the compliance with all regulatory requirements within area of responsibility and reporting potential issues to appropriate parties. Develop and maintain working relationships with regulatory agencies. Implements and monitors the effective administration of the property’s AML / Know Your Customer Program. Serves as the property BSA/Compliance Officer. Performs the annual AML Risk Assessment and revises the AML Program as needed. Ensure CTRs and SARs are filed timely. Creates and maintains Know Your Customer profiles. Reviews, identifies, evaluates and resolves compliance issues, internal and external audit findings and submits responses of corrective action. Responsible for preparing, monitoring and adhering to budgets and ensuring compliance to departmental budget initiatives. Reports budget concerns / deviations to the Executive Management / GM. Maintains strict confidentiality in all departmental and company matters. Ensures compliance with reporting commitments required by the corporate office and regulatory agencies. Ensures adherence with corporate-mandated compliance programs, including Responsible Gaming program, conducting quarterly Responsible Gaming interviews and preparing status reports regarding the company’s Responsible Gaming program. Conducts Compliance and Responsible Gaming Committee meetings, as required. Bachelor's degree (B.A. /B.S.) in Business or related field from four-year college or university; 5-10 years’ experience in compliance or governmental affairs or equivalent combination of education and experience is essential. Law degree / experience preferred. Casino experience preferred.
Job ID: 2017-43076