Compliance Generalist

Compliance Generalist

Under the direction of the Director of Compliance, the Compliance Generalist will contribute to drafting and improving internal compliance and departmental policies and procedures, reviewing existing practices and procedures, and identifying compliance risks or breaches. The Compliance Generalist will also stay updated on regulatory changes and ensure all team members are aware of the latest compliance standards. All duties are to be performed with the highest level of business integrity while providing excellent guest service and in accordance with federal, tribal, local laws, regulations, and ordinances, as well as department and company policies, practices, and procedures.

 Essential Job Duties:

• Evaluates existing company procedures to ensure compliance with internal policies, controls, and requirements of regulatory agencies.
• Enforces, investigates, and reports violations of overall company policies and procedures, as it relates to Naskila Casino, its subsidiaries, and the Tribal Gaming Agency (TGA). 
• Performs compliance-related administrative tasks, such as performing data entry, creating, and updating documents, preparing compliance audits and reports, and handling phone and email correspondence.
• Provides compliance guidance and training to other team members.
• Conducts testing of potential risk areas and identifies reportable issues.
• Ensures departmental compliance with existing policies and procedures. 
• Maintains detailed records regarding compliance correspondence or departmental requests and ensures follow-up is completed when necessary.
• Assist with all BSA/AML Compliance requirements, when necessary.
• Reviews the responses received from internal audits to ensure findings and recommendations are implemented.
• Prepares preliminary monthly, quarterly, and annual compliance reports for final review by the Director of Compliance. 
• Respond promptly to requests for information or any other requests by the TGA and other governmental agencies. 
• Distributes compliance correspondence to applicable departments, as directed.
• Assists the Director of Compliance in acting as liaison to the TGA and other governmental agencies associated with a focus on compliance issues.
• Assists with special projects, including statistical analysis and reporting.
• Responds effectively to guest inquiries related to the property and local area while maintaining excellent guest service.
• Resolves guest complaints within scope of authority; otherwise refers the matter to management. 
• Assists with other duties as assigned.

Requirements:

• College Degree in Communication, English, Business, or related field, or equivalent work experience.
• Minimum two (2) years of experience in Casino (Gaming Departments), Banking, Auditing, or Regulatory compliance.
• Proficient in Microsoft Office and Technical Writing
• Effectively communicates in English, in both written and oral forms.

Skills and Abilities:

• Ability to read, analyze, and interpret documents, such as Casino Regulations, Minimum Internal Controls, Federal laws, and policies and procedures.

• Ability to provide excellent service to guests and ensure their complete satisfaction. This includes greeting and interacting with guests in a friendly and enthusiastic manner, building trust, anticipating, and meeting guest needs and preferences, remaining calm and professional when dealing with guests that are difficult or upset, taking ownership of guest issues or problems, and acting to quickly resolve them, and caring about and valuing guests.

• Ability to set priorities, plan, and coordinate work activities, and obtain and manage resources so that work objectives are accomplished efficiently.

• Ability to know when a decision needs to be made and having the readiness to make timely, sound decisions. This includes selecting the most promising alternative or course of action, recognizing when outside advice is needed, and committing to action, even in uncertain situations.

• Ability to use computer systems and software packages to input, access, modify, store, or output information or to execute programs or analyses. This includes the ability to enter and retrieve data from computer systems using a keyboard, mouse, or trackball.

• Ability to communicate information clearly and politely to all levels of management, coworkers, supervisors, and guests when speaking, writing, and reading English. This includes targeting the amount, style, and content of the information to the needs of the receiver.

• Ability to develop and maintain professional, trusting, and positive working relationships with managers, supervisors, coworkers, guests, and vendors. This includes being cooperative, approachable, and taking time to listen to and address others’ questions or concerns; treating others with kindness, respect, and dignity; and expressing empathy and compassion when dealing with the needs and problems of others.

• Ability and willingness to uphold ethical standards and comply with all local and federal laws and company policies and procedures. This includes maintaining confidentiality of all sensitive and proprietary information and avoiding conflict of interest situations.

• Ability to work productively and effectively when faced with stressful work situations and time pressures. This includes maintaining stamina, patience, and effective interactions with others under stressful working conditions, and maintaining a calm, controlled, professional manner when facing high pressure and demanding situations.

• Ability to work in ambiguous situations and change one's style or approach in response to differing circumstances. This includes being open to change and new information; adapting behavior and work methods in response to new information, changing conditions, or unexpected obstacles; and adjusting rapidly to new situations warranting attention and resolution.

• Ability to conduct legally defensible investigations. This includes using diplomacy and tact, maintaining neutrality, taking separate statements, and keeping conversations confidential.

• Ability to perform auditing procedures, including the ability to recognize, research, and resolve discrepancies in financial data.

Preferred:

• Advanced knowledge of Microsoft Word and Excel.