Compliance Supervisor

North Fork Mono Casino & Resort•Notarb, CA

2d•Onsite

About The Position

The Compliance Supervisor is responsible for supervising, maintaining, and supporting organizational adherence to applicable federal, state, and tribal laws, regulations, and other requirements, including North Fork Rancheria Gaming Commission (NFRGC), anti-money laundering (AML), and countering the financing of terrorism (CFT) obligations. The Compliance Supervisor operates the Compliance department, including developing and supervising its Team Members. They regularly interact with management, NFRGC and other regulators, auditors/examiners, and law enforcement. Responsibilities are performed in accordance with all Company standards, policies, and procedures. This position will report directly to the Compliance Manager.

Requirements

Working knowledge of laws and regulations applicable to tribal casinos, including Bank Secrecy Act/Title 31 and minimum internal control standards (MICS).
Strong written, verbal, and interpersonal skills to effectively and professionally communicate with Team Members, management, regulators, auditors/examiners, and vendors.
Strong executive functioning skills, including time management, organization, planning, and self-control.
Demonstrated ability to analyze information, identify material risks, and apply clear, practical, risk-based, and defensible solutions.
Demonstrated investigative, analytical, and critical-thinking abilities; solution-focused, flexible, highly organized, self-motivated, and able to prioritize and manage multiple tasks effectively in a timely manner.
Demonstrated ability to handle sensitive and confidential information with discretion and sound judgment.
Proficient with the Microsoft Office suite (i.e., Excel, Outlook, Word, and PowerPoint).
Demonstrated ability to query, analyze, and organize data.
High school diploma or GED required.
Minimum of two (2) years of experience in gaming, AML, or regulatory compliance.
One (1) year of supervisory experience required.
Must be able to obtain and maintain a Gaming License from the Tribal Gaming Commission, which includes passing a background investigation.
Must be at least 21 years of age.

Nice To Haves

Proficiency with AML systems is preferred.

Responsibilities

Responsible for practicing, supporting, and promoting North Fork Mono Casino's culture, always demonstrating exemplary Service Standards, and promoting a strong culture of compliance.
Supervise, support, and monitor the Casino's compliance with applicable gaming laws, regulations, and other requirements. Ensure compliance in areas directly under their control.
Supervise the Compliance department, including its Team Members and operations. Ensure staffing, resources, and technology systems are best utilized to optimize department operations and maintain effective compliance. Identify, recommend, and implement improvements.
Advise the Manager in a timely manner of findings affecting compliance, including those involving high-risk guests, transactions, or activity. Communicate with the Manager in a timely manner of issues affecting departmental operations.
Develop and train Team Members, evaluate and appraise performance, recognize and discipline Team Members, and resolve problems.
Supervise and monitor the AML/CFT program for compliance and effectiveness.
Help conduct AML/CFT risk assessments and evaluate the effectiveness of AML/CFT controls to identify, mitigate, and monitor financial crime risks. Recommend, support, and implement control changes.
Conduct AML/CFT guest due diligence and source of fund reviews. Recommend, implement, and monitor risk mitigation measures and follow-up actions. Maintain thorough, well-organized supporting documentation.
Identify, monitor, investigate, and report suspicious activity using all available information. Analyze large datasets from multiple systems and perform data analytics (query, join, cleanse, validate, and interpret data). Prepare and file reports that are clear, accurate, and have well-supported documentation of the findings and basis for suspicion.
Maintain AML data integrity through reconciliations, validations, and exception reviews; ensure accurate, complete, and timely data flow between casino systems, AML platforms, and reporting tools.
Administer the AML/CFT training program ensuring it is role-based, timely, and effective. Develop knowledge resources and conduct supplemental in-person training to promote compliance consistency, effectiveness, and continuity.
Ensure the direction given by the Station Casinos compliance department is followed and implemented.
Ensure regulatory filings are accurate, complete, and submitted within required timeframes.
Ensure corrective actions or enhancements are implemented and effective.
Create and enhance departmental programs, procedures, and tools, including those for audits, investigations, and reviews.
Assist with preparing reports, presentations, and analysis for management and regulators.
Work directly and coordinate with the NFRGC and other regulatory agencies, independent auditors/examiners, and law enforcement. Coordinate audits/examinations and fulfill record requests.
Assist with the administration of the responsible gaming and records management/retention programs.
Responsible for ensuring that staff payroll is completed and approved prior to the close of payroll deadline.
Perform other duties as assigned.