What are the responsibilities and job description for the Supervisor Regulatory Compliance position at Rivers Casino?
Job Summary :
The Compliance Supervisor position serves as a research specialist performing a wide range of functions related to compliance with the Bank Secrecy Act and Virginia Lottery Regulatory Compliance. This position assists in preparation of communications to management, auditors and regulators. Assists in writing Internal Controls revisions as directed by the Director of Compliance. This position will have operational responsibilities for ensuring accurate and timely filings of CTRs and SARs and taking the appropriate action to protect the company against risk of money laundering activity in accordance with law and casino policy in consultation with the Director of Compliance (BSA Compliance Officer). The position is responsible for analyzing complex suspicious activity cases to ensure that potentially suspicious transactions are appropriately identified within the specified time frames. Assists in ensuring a comprehensive Title 31 training and testing program is routinely and regularly administered.
Supervisory Responsibilities :
Demonstrates a willingness to train / develop Team Members ensuring Team Members thoroughly comprehend company operating procedures, Internal Controls and Regulatory issues.
Supervises Senior Compliance Analyst, Compliance Analyst and Compliance Clerk.
Motivates Team Members to perform to the best of their abilities. Builds self-esteem and confidence. Recognizes and rewards outstanding performance.
Conducts effective corrective counseling, on-the job training, and coaching for Team Members
Assists in internal, external, regulatory, and miscellaneous audits as requested.
All other tasks or projects as assigned.
Duties / Responsibilities :
Ensures compliance with Title 31, Office of Foreign Asset Controls (OFAC), Anti-Money laundering (AML), State regulations and requirements, established company and department policies & procedures.
Assists in writing Internal Controls and revisions as directed by the Director of Compliance.
Reviews and reports Title 31 filings. Actively evaluates results for inconsistences and anomalies.
Ensures timely and accurate submission of Title 31 required document filings.
Collaborates with the Director of Compliance to update the property AML policy, as well as Internal Controls and departmental SOPs.
Coordinates with operations management at all levels to respond to needs for systems, reports, and related items. Assists in writing procedural changes as directed.
Effectively develops and implements standardized procedures.
Performs re-audits & evaluations to ensure compliance with proper policies & procedures. Reports finding to management.
Ensures compliance with all applicable local, state, and federal laws.
Assists in preparation of communications to management, auditors, and regulators.
Keeps department management informed of all pertinent information regarding Title 31 compliance and related activity
Demonstrates a willingness to train / develop Team Members ensuring Team Members thoroughly comprehend company operating procedures, Internal Controls and Regulatory issue
Motivates Team Members to perform to the best of their abilities. Builds self-esteem and confidence. Recognizes and rewards outstanding performance.
Conducts effective corrective counseling, on-the job training, and coaching for Team Members
Assists in internal, external, regulatory, and miscellaneous audits as requested.
Maintains historical financial and statistical data related to regulatory filings.
All other tasks or projects as assigned.
Minimum Education and Experience Requirements :
Must be 21 years or older.
Minimum of 5 years banking, compliance or audit experience in Bank Secrecy Act / Anti-Money Laundering and knowledge of Bank Secrecy Act / Anti-Money Laundering requirements.
Casino experience
Working knowledge of Microsoft Office software.
Possess above-average verbal and written communication skills.
Must be highly organized.
Certifications, Licenses, and / or Registrations :
Gaming license as required by Virginia Lottery.
Knowledge, Skills, and Abilities :
Excellent verbal and written communication skills.
Excellent organizational, analytical, and project management skills, with particular attention to quality and detail.
Ability to work under pressure and possess strong time management skills.
Ability to communicate with team members and guests.
Ability to be a TEAM player.
Available to work flexible shifts, weekends, and holidays.
Willing to travel and participate in training as recommended and required.
Ability to obtain and maintain all necessary licensing.
Physical Requirements :
Frequently required to see, talk, and hear; use hands to finger, handle, or feel.
Must occasionally lift and / or move up to 10 pounds.
Able to interact with others while maintaining a positive and courteous demeanor.
Fine Motor Skills; Keyboarding, Use of Hand Controls.
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