Compliance Specialist

Compliance Specialist

Summary  

The Compliance Specialist will be responsible for reporting requirements of the Code of Federal Regulations (Bank Secrecy Act) and Financial Crimes Enforcement Network (FinCEN). As a Compliance Specialist, you will play a primary support role for the Regulatory Director of Compliance and the rest of the Anti-Money Laundering ("AML") team. Pay is based on experience and education.

Essential Functions And Responsibilities

• Practices, supports, and maintains the Mission, Vision and Values of WarHorse Gaming, LLC.
• Minimizes regulatory risk of IRS fines and penalties by maintaining the Title 31 Compliance program to ensure the highest level of team member awareness, accurate capturing of currency transactions, effective daily audits of all Title 31 paperwork, and timely filing of all Currency Transaction Reports (CTR) and Suspicious Activity Reports (SAR) to the IRS and FinCEN.
• Support the Regulatory Compliance Director with maintaining the Known Your Customer (“KYC”) program which includes ongoing patron reviews and patron risk rating.
• Perform work in AML investigations including, but not limited to, customer due diligence (“CDD”), enhanced due diligence (“EDD”), and other related regulatory matters.
• Work with internal stakeholders to assist in the development of ongoing monitoring criteria as it relates to the detection of unusual activity.
• Use information gathered from various system sources and staff to detect patterns, trends and unusual activity to ensure that investigations are completed, and that SARs are filed. Ability to thoroughly investigate suspicious activities ensuring the most complete and detailed narrative of events are reported in a timely manner, as well as, demonstrating sound judgment when determining appropriate action(s) necessary with regard to potential escalation.
• Assist the company’s AML audit team with identifying transactions that are reportable to FinCEN.
• Provide guidance to internal and external partners regarding questions specific to compliance with anti-money laundering regulations and obligations.
• Analyzes AML exception reports, patterned discrepancies, and accuracy of form completion, to recognize areas of exposure regarding the AML program and subsequently providing recommended action to the Regulatory Director of Compliance.
• Continual development and improvement of the property’s AML Program, to include on-going evaluation of departmental procedures, training materials, and system capabilities of capturing cash-in and cash-out transactions.
• Ability to work independently and objectively while exhibiting sound discretion when researching and interpreting federal requirements, educating team members, scrutinizing data, and/or seeking resolution of Title 31 issues.
• Conducts routine assessments of the property’s Responsible Gaming efforts to ensure compliance with Internal Controls and Nebraska Racing and Gaming Commission standards, reporting any identified failures to the Regulatory Director of Compliance.
• Provides assistance with compliance related investigations and audits as assigned by the Regulatory Director of Compliance.
• Performs responsibilities independently, with little supervision while maintaining the ability to make informed and educated decisions.
• Queries, audits and maintains custom computer reports, spreadsheets and word documents files.
• Performs data entry and utilize scanning software.
• Maintains and organizes department files as directed.
• Completes special projects as assigned by the Regulatory Director of Compliance and recommends improvement and/or corrective actions as necessary.
• Maintains a positive attitude at all times, supporting the policies of Senior Management.
• Maintains strict confidentiality regarding all matters related to compliance department.
• Adheres to, interpret, support, and explain established company policies and procedures as well as applicable local, state, federal and other regulatory procedures.
• Fosters and maintains positive team member relations in a supportive environment and interfaces with other departments to ensure a harmonious working relationship.
• Continue professional development of self.
• Maintains a high level of professional appearance, demeanor, ethics, and image of self.
• Conducts and attends all regular departmental meetings as well as other related meetings.
• Completes necessary reports in a timely manner to meet deadlines.
• Must be able to work flexible hours including evenings, weekends, and holidays.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Skills And Qualifications

• Must be 19 years of age or older.
• Knowledge of Title 31 and the Bank Secrecy Act preferred.
• Strong problem solving, mediation, coaching, and consulting skills.
• Excellent verbal and written communications skills.
• Excellent interpersonal skills
• Knowledgeable of applicable federal, state, and local regulations.
• Fully Competent in Microsoft Office
• Knowledge of Internet and database search capabilities
• Ability to sustain a high level of confidentiality and professionalism.
• Ability to maintain a high level of energy and take a proactive and strategic approach to dealing with issues.
• Ability to work independently and collaboratively and communicate effectively with team members at all levels of the organizations.
• Uses diplomacy and tact to build constructive and effective relationships including during high-tension situations.
• Ability to obtain support for ideas and actions from subordinates, peers, or superiors in order to accomplish a task or goal.
• Highly organized and detail oriented.
• Uses time efficiently and effectively to manage priorities.
• Deals with simple and complex concepts effectively.
• Ability to identify circumstances or incidents that require the notification and/or approval of others.
• Ability to review documents for regulatory requirements.
• Ability to perform research of regulatory matters both federal and state

Education & Experience

• Two (2) years experience in preferably a gaming/banking auditing position.
• College degree OR an equivalent combination of education and experience preferred.

Other Certifications?

Nebraska Gaming License Required

Work Environment

This is a full-time position. Typical days and hours of work are Monday through Friday, 8:00 a.m. to 5:00 p.m. Evening, weekend and holiday hours required, based on business need. 

Travel Requirements

Travel is primarily local during the business day, although some out-of-area and overnight travel may be expected. Travel is expected once a week to the Omaha location. You will be reimbursed for mileage. 

• Critical Thinking 
• Complex Problem Solving 
• Judgement and Decision Making. 
• Reading Comprehension 
• Speaking
• Ethical Conduct 

Aap/EEO Statement

Ho-Chunk, Inc. is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. However, preference may be extended to persons of Indian descent in accordance with applicable laws.

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