Manager Regulatory Compliance
About The Position
The Regulatory Compliance Manager position serves in a leadership (including, but not limited to, coaching, mentoring, and performance management) position for the Compliance Department, providing direct supervision of and guidance to the AML Investigators and AML Compliance Coordinators and Compliance Specialist. The Compliance Manager performs a wide range of functions related to New York State Gaming Commission regulatory submissions in addition to compliance with the Bank Secrecy Act. This position has supervisory responsibilities for accurately reviewing and providing direction for the actions taken to protect the company against risk of money laundering activity in accordance with law and casino policy in consultation with the property’s BSA Compliance Officer.
Requirements
- Must be at least 21 years old
- Bachelor’s degree required
- Strong understanding of AML regulations.
- Excellent analytical, investigative, and critical-thinking skills
- Strong written and verbal communication skills
- High attention to detail and ability to manage multiple cases simultaneously
- Must be able to obtain and maintain the appropriate gaming license through to the New York State Gaming Commission
- Ability to read, analyze, and interpret documents, such as policy and procedure manuals, maintenance instructions, and other related documents.
- Ability to respond to common inquiries from other employees or guests.
- Fluency in English required, second language a plus.
- Ability to write detailed instructions and correspondence.
- Ability to effectively present information in one-on-one and group situations.
- Ability to add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions, and decimal, and work with mathematical such as probability and inference.
- Ability to create, read and analyze spread sheets of statistical data.
- Ability to decipher various reports and maintains reports upon request.
Nice To Haves
- AML-related certifications (e.g., CAMS, CFE, or similar) and/or experience with AML monitoring systems and management tools preferred
Responsibilities
- Review and investigate AML alerts related to suspicious transactions, customer behavior, and high-risk activities
- Advises on compliance with state and federal regulations applicable to gaming and non-gaming, including consulting on the design and implementation of strategic initiatives
- Establishes and maintains strong relationships with key stakeholders in order to promote a practical and synchronized approach to compliance
- Participated in meetings providing compliance advice, as well as keeping up-to-date on new and changing regulatory developments
- Ensures that compliance responses to regulators (state and
- Conduct enhanced due diligence (EDD) and customer due diligence (CDD) reviews
- Analyze transactional data to identify patterns indicative of money laundering, fraud, or terrorist financing
- Prepare clear, accurate, and timely investigative reports and case documentation
- Review and file Suspicious Activity Reports (SARs”) in accordance with regulatory requirements
- Escalate high-risk cases and findings to senior compliance staff or management as appropriate
- Stay current on AML regulations, typologies, and emerging financial crime risks
- Collaborate with internal teams (Compliance, Legal, Risk, Operations) to resolve issues and improve controls
- Support regulatory exams, audits, and internal reviews when required
- Assists with subpoena processing
- Reviews daily MTL and CTR audits for compliance and approves for filing
- Maintain STRICT confidentiality of internal activities
- Perform other duties as assigned
- Demonstrates consistent regard and dedication to guests, vendors, colleagues and the Company by being engaged, interested and productive
- Demonstrates a working knowledge of our marketplace; actively and collaboratively assists in building the best practices necessary for the Company’s success
- Demonstrates an understanding of the impact actions and decisions have on the Company both financially and on guest relations
- Demonstrates the initiative to present new ideas and perspective to create positive results
- Exhibits respectful consideration of viewpoints, situations and others
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What This Job Offers
Job Type
Full-time
Career Level
Manager
