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Job: Compliance Officer, Quinault Beach Resort & Casino, Ocean Shores, WA
Ocean Shores, WA 98569 United States
• Life Insurance/Disability Insurance
• Company Discounts
• Company Sponsored Events
Only current U.S. residents will be considered
ESSENTIAL JOB FUNCTIONS:
• Provide excellent customer service for all internal and external customers of the Casino operations at all times and in all activities. Establish and maintain effective working relationships with all internal and external customers of the Quinault Beach Resort and Casino operations. Develop solutions for customer concerns and continual focus on customer service as our top priority.
• Working with the executives and staff, investigate and respond to all Gaming Commission exception reports, and submit written findings to the General Manager/CEO, Department Director (s) and the Gaming Commission.
• Oversee the compliance of U.S. Code Title 31 throughout Quinault Beach Resort & Casino.
• Review and conduct quarterly audits of each department to assure knowledge and compliance of internal controls and Title 31.
• Design adjustments of internal controls and Title 31 within the established procedures, for presentation and approval of the General Manager/CEO and the Gaming Commission.
• Develop, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
• Develop and periodically review and update policies and procedures to ensure continuing currency and relevance in providing guidance to management and employees.
• Collaborate with other departments (e.g., Risk Management, Internal Audit, Employee Services, Tribal Gaming Agency etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consult with the corporate attorney as needed to resolve difficult legal compliance issues.
• Act as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
• Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of compliance activities.
• Identify potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
• Provide reports on a regular basis, and as directed or requested, to keep the CEO/GM and senior management informed of the operation and progress of compliance efforts.
• Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
• Establish and provide direction and management of a Compliance Hotline.
• Institute and maintain an effective compliance communication program for the organization, including promoting (a) use of the Compliance Hotline; (b) heightened awareness of Standards of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
• Work with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
• Monitor the performance of the Compliance Program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
• Other related issues as assigned by the General Manager/CEO.
• Process all CTR/SAR reports through the BSA E-Filing system.
• Provide training, guidance, and communication, as needed, to gaming personnel regarding regulatory BSA/AML Title 31 Compliance Program.
• Monitor QBRC Title 31 related activities for compliance with the BSA/AML Compliance program to identify any regulatory deficiencies.
• Revise, as necessary, the BSA/AML Program in accordance with Title 31 Federal Regulations.
• Adhere to all QBRC Personnel Policies and Procedures, Title 97 Policy, and HR Standard Operating Procedures.
• Insure that a qualified auditor conducts an external audit of Title 31 compliance annually.
• The above duties and responsibilities are not an all-inclusive list but rather a general representation of the duties and responsibilities associated with this position. The duties and responsibilities will be subject to change based on organizational needs and/or deemed necessary by the supervisor.
• Bachelor’s degree in Accounting, Business Administration or related area from a four year college or university and;
• Five (5) years Title 31 (Bank Secrecy Act), Anti-Money Laundering regulations, preferably in a tribal casino environment.
• Investigation and report writing skills required.
• Must be able to obtain a high security gaming license.
• Computer literate: able to generate documents, reports, and data tracking measures.
• Flexible scheduling and able to work various hours, days and shifts.
• Office skills, ability to use standard office equipment and computer proficiency in Microsoft Word, Outlook, Excel, and Power Point.
• Must have excellent oral and written communication skills.
• Must maintain complete confidentiality at all times.
• Must be able to successfully pass a pre-employment drug/alcohol screen and background investigation.
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