COMPLIANCE INVESTIGATOR
SALARIED POSITION: $51,688.00/YR
Day Shift – Must be flexible to work hours based on business needs, including weekends and holidays
PURPOSE:
Under the director of the Director of Compliance, the Compliance Investigator is responsible for conducting investigations of alleged violations of ethical standards, non-compliance of policies, procedures or regulations, and patron activities while at the Casino. 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.
SUPERVISORY SCOPE:
This position directly supervises:
Position
N/A
ESSENTIAL JOB DUTIES/RESPONSIBILITIES:
- Assists with daily review, monitoring, and analysis of various reports, logs, and transaction data to identify trends, unusual activity, and monitors large currency activity; determines if transactions are suspicious in nature.
- Conducts suspicious activity incident (SAI) report investigations, high risk customer reviews, and recommends Suspicious Activity Report (SAR) filings.
- Documents all investigative activities and prepares written reports of findings.
- Maintains records, databases, logs, and other needed documentation related to suspicious or fraudulent activity.
- Conducts interviews, as necessary.
- Reports and makes notes and records of any suspicious transactions or activities in an efficient and timely manner.
- Assists with CTR and SAR filings within the proper time period.
- Assists with Compliance Training and Testing.
- Maintains and updates knowledge of Anti-Money Laundering compliance rules, NIGC regulations, federal laws, and property’s best practices.
- Enforces, investigates, and reports violations of overall company policies and procedures to the Director of Compliance.
- Ensures conformance to all BSA/AML standards, including CTRs, SARs, KYC, OFAC, and CDD.
- Prepares or assists with the preparation of preliminary monthly, quarterly, and annual compliance reports with final review by the Director of Compliance.
- Maintains detailed records regarding compliance investigations, meetings, or departmental requests and ensures follow-up is completed when necessary.
- Responds promptly to requests for information and 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 other compliance duties and special projects, including testing, statistical analysis, and reporting.
- Responds effectively to guest inquiries related to the property and local area providing excellent guest service.
- Resolves guest complaints within scope of authority; otherwise refers the matter to management.
- Other duties as assigned.
REQUIREMENTS:
Education and Experience:
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- High school diploma or GED equivalent.
- Minimum two (2) years of experience in surveillance, investigations, auditing, or regulatory compliance.
- Minimum of three (3) years of experience working in the casino or gaming industry.
Skills and Abilities:
- Proficient in Microsoft Office software.
- Operate efficiently with a high degree of accuracy.
- Effectively communicate in both written and oral forms.
- Ability to read, analyze, and interpret documents, such as Casino Gaming Regulations, Minimum Internal Controls, 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 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:
Education and Experience:
- Advanced knowledge of Microsoft Word and Excel.
REQUIRED TRAINING:
- New Team Member Orientation
- Team Member Policy Handbook
- Department Policy Handbook
- Guest Service Standards
- Any position related training deemed necessary by Department Manager
CONDITIONS OF EMPLOYMENT:
- Must possess sensitivity to the Native American culture.
- Must be a minimum of 18 years of age.
- Must be able to obtain and maintain a Casino License.
- Must comply with all Naskila Casino Policies.
- Must successfully complete an Introductory Period.
- Must be able to communicate and interact with Guests, fellow Team Members, and Management in a professional and courteous manner.
- Must follow all Safety Rules and Regulations.
- Must adhere to Dress Code and Appearance Policies.
- Must maintain and wear uniform provided by Naskila Casino, if applicable.
- Practice good personal hygiene.
- Must be willing to work all shifts, weekends, and holidays as deemed necessary by the Department Manager.
GUEST SERVICE EXPECTATIONS:
In support of our Brand Promise all Team Members will be expected to provide an Exceptional Entertainment Experience. Team Members will specifically:
Delight Our Guests
Pay Attention to Details
Help Other Team Members Succeed