SPECIALIST - COMPLIANCE

The incumbent in this position is responsible for performing or assisting in the planning and execution of the compliance standard operating procedures, compliance audits, special projects, and provides high-level paralegal administrative
support. Additional responsibilities will include assisting in maintaining the Title 31 and AML Programs and review andmanage contract administration. This individual regularly interacts with mid-level management to discuss compliance related issues and contract requirements to improve business practices.

ESSENTIAL FUNCTIONS:
 
(These functions are intended as a general illustration of the work performed in this job classification and are not all
inclusive for this position)

• Conducts day-to-day audit of all documents generated from the operating departments.
• Ensures compliance with the ICS, Title 31, AML and PCI.
• Performs daily submission of CTR’s and logging exceptions generated by operating departments.
• Assists Compliance Manager in monitoring the administration of the Title 31 E-Testing to ensure timeliness of administration of such testing.
• Assists the Compliance Manager in processing of Suspicious Activity Reporting.
• Maintains compliance records, audits and reports.
• Responsible for the day-to-day audit of all documents generated from the operating departments and ensures the compliance with the ICS, AML and Title 31. Any discrepancies are submitted to management.
• Trace a potential reportable items through the transactions flow to ensure compliance with Title 31 and AML.
• Ensure the timely preparation for filing of CTR and SARC's and re-filing incomplete CTRs when additional information is obtained.
• Provide assistance in coordination of the audit process with both internal and external auditors.
• Provide assistance in preparation of quarterly reports of compliance and exceptions for review by the CTR and SARC Compliance Committee.
• In absence of manager, monitor daily sensitive key transactions.
• In conjunction with manager, conduct quarterly audits of sensitive keys and users of sensitive keys.
• Works with manager to ensure the proper storage/warehousing and retention of all sensitive documents via a manual or computerized process.
• Conducts research on a wide variety of subjects as requested.
• Review, draft, process, revise, track, and file contracts, including, but not limited to, design and construction, commercial leases, licenses, development, management, entertainment, consulting and professional services, table games, advertising, site licenses, non-disclosure, and transportation.
• Administrate CobbleStone software for contract tracking.
• Communicate with external counsel and business clients consistently during the processing of requests and working on matters.
• Assist in the collection and compilation of data and documentation related to regulatory petitions, complaints, and proceedings.
• Researches case law, statutes, and regulations as required to provide legal advice to executives and company.
• Perform clerical functions.
 
NON-ESSENTIAL JOB FUNTIONS

Attend seminars when needed.

EDUCATION AND /OR QUALIFICATION REQUIREMENTS:

(Related education and experience may be interchangeable on a year for year basis)

Bachelor degree or equivalent work experience. Self-motivated and efficient, with good business judgment and analytical
skills. High level of personal integrity and ability to maintain confidentiality. Ability to efficiently manage large volumes
of transaction requests. Knowledge of standard casino departmental structure and business needs is preferred.

ADDITIONAL REQUIREMENTS: (Licenses, Certifications, Testing, etc):
• Must obtain and maintain valid licenses / certifications per Federal, State, and Gaming/Lottery regulations.
• Must successfully pass background check.
• Must successfully pass drug screening.
• Must be twenty-one (21) years of age.

KNOWLEDGE OF:
• Must be able to obtain and maintain all appropriate licenses / certifications per Federal, State, and Gaming regulations.
• Investigative procedures.
• Excellent interpersonal, oral and written communication skills.
• Extreme confidentiality.

ABILITY TO:
• Be flexible to work varying shifts and time schedules as needed.
• Communicate effectively with all levels of employees and guests.
• Review and comprehend all necessary documentation.
• Complete standard company forms and reports.
• Manage multiple tasks concurrently in a changing environment.
• Work independently.
• Travel some of the time.
• Analyze and think creatively about the operations of the entire casino. 

Closing:

 

The Tribal Council gives first preference in all of its employment practices to members of the Enterprise Rancheria Tribe who meet the job requirements.