DIRECTOR - COMPLIANCE

Job Description

Job Description

Overview

Hard Rock Hotel & Casino Tejon is located less than 15 miles south of Bakersfield, on Tejon Indian tribal land in Mettler, situated at the southernmost tip of California’s Southern San Joaquin Valley and nestled near the base of the historic Grapevine mountain pass that connects Southern California to the Central Valley. This region of the San Joaquin Valley is home to one of the most productive agricultural counties in the country and is the center point of the state with access to the Central Coast and both Northern and Southern California within a couple hours’ drive. This project is the first of its kind in Kern County and will be constructed in two phases. The first phase will consist of an approximately 150,000 square foot casino featuring 3,000 slot machines, 48 table games, and multiple food and beverage venue including the renowned Hard Rock Café. Phase II will include a 400 room hotel, 2,800 seat Hard Rock Live event center, that will draw attractions like concerts, performances, and sporting events to name a few. In addition some of music’s most iconic memorabilia will be on display.

The Director - Compliance is responsible for leading and overseeing the Property’s compliance and Anti-Money Laundering (AML) program and will serve as the property’s designated BSA AML Officer ensuring adherence to all related regulations by monitoring transactions, identifying, and investigating suspicious activity, filing necessary reports, and conducting customer due diligence.

This position will provide strategic oversight for AML, BSA and OFAC policy compliance and will work with senior management and operations to manage the company’s AML and KYC policies and practices to ensure that the property complies with Bank Secrecy Act.

This role will also assist in implementing compliance policies and implementation of internal controls standards to ensure adherence to applicable Federal, State laws, NIGC gaming regulations and company standard requirements.

Responsibilities

ESSENTIAL DUTIES AND RESPONSIBILITIES :

• Oversees and ensures overall BSA compliance.
• Provides strategic leadership over the AML compliance department and program, including AML transaction / activity review, currency transaction reporting, KYC reviews, customer due diligence / enhanced due diligence reviews, suspicious activity investigations and reporting, risk assessment, and AML training.
• Assures that the compliance department properly files reports (CTR, SAR, Form 8300, etc.) and creates and maintains records in accordance with the requirements of the BSA. Assures that the Compliance department is trained and kept abreast of current BSA requirements and related guidance.
• Analyze various reports and data such as wire logs and currency reports for suspicious activity, transaction patterns, high-risk countries, etc. and perform appropriate investigations.
• Knowledge and experience with PCI compliance, rules, regulations, policies, procedures, and standards of conduct in connection therewith.
• Works closely with various operational areas to monitor and evaluate departments’ compliance with law, and internal policies and procedures.
• Partners with department leaders to help identify, manage, and mitigate AML compliance risks in existing and emerging operational areas.
• Prepares and present reports for senior leadership, corporate compliance, committees, and other business needs as necessary.
• Strategically identifies continuous improvement for AML program elements including policy / procedures, training, monitoring, risk assessment, governance, and reporting.
• Shares highly complex information related to AML expertise. Interacts with senior management to keep abreast of objectives. Transfers knowledge and collaborates across departments. Interacts with direct reports and peers in management / customers / vendors to interpret information and improve cross-functional processes and programs. Builds and enhances key internal and external contacts.
• Create a culture of compliance and empower team members to act with confidence in reporting areas of potential non-compliance.
• Directs and develops employees as needed through on-boarding, open communication, training and development opportunities and performance management processes; builds and maintains employee morale and motivation; fosters a diverse and inclusive workplace.

Qualifications

EDUCATION AND / OR EXPERIENCE :

PHYSICAL DEMANDS :

The physical demands described here are representative of those that must be met by an incumbent to successfully perform the duties and responsibilities of the position.

WORK ENVIRONMENT :

Constant exposure to casino related environmental factors including, but not limited to crowds, secondhand smoke, and excessive noise. Intermittent time in office consisting of environmental factors typical in an indoor, climate-controlled office environment.

Disclaimer

While this is intended to be an accurate reflection of the current job, management reserves the right to revise the current job or to require that other or different tasks be performed when circumstances change, (e.g. emergencies, changes in personnel, workload, rush jobs or technical developments).