Director Of Compliance

Reports to General Manager
Scope of Position The Director of Compliance is responsible for the administration of the Compliance Department and development of compliance programs which align with the business objectives of the organization, protect company assets, protect the integrity of the casino and conform to all Federal and Tribal laws, regulations, ordinances and approved company policies and procedures.
The Director of Compliance will work closely with middle management to identify, recommend, develop, implement, and support efficient, cost-effective compliance solutions for all aspects of the organization.
DUTIES AND RESPONSIBILITIES: The following are examples only and are not intended to be all inclusive or restrictive; other duties may be assigned as necessary.
Essential Functions An individual must be able to successfully perform each essential function of this position listed below with or without reasonable accommodation.
Supervisory Responsibilities Supervises day-to-day activities; provides training, planning, assigning and directing work; interviews and hires; appraises performance, rewards, and disciplines employees; corrects and approves time cards, schedules time off, and posts shift bids; and addresses complaints and resolves problems.
Other Responsibilities Performs all functions in accordance with applicable Tribal, Federal and other laws and gaming regulations and Kickapoo Lucky Eagle policies and procedures. Ensures the highest possible standards of guest service are provided and listens and responds to guest and employee concerns and questions. Directs the Compliance Department and trains staff in the Bank Secrecy Act, IRS regulations, Federal reporting requirements, risk assessment, internal controls, policies and procedures, casino practices, compliance audits, analysis and interpretation of automated system data reports. Reviews and develops interdepartmental policies and procedures and internal controls to ensure conformity with Federal and Tribal Regulations, including Tribal Internal Control Standards, NIGC Minimum Internal Control Standards, IRS regulations and Kickapoo Traditional Tribe of Texas Gaming Commission Regulations. Analyzes all gaming activities, accounting processes and casino records to evaluate compliance with all Federal and Tribal laws, regulations, ordinances and approved procedures. Examines and evaluates the adequacy and effectiveness of policies and procedures and the system of internal controls, the accuracy of financial records/reports and the efficiency of the activities being performed. Collaborates with various external agencies (IRS, NIGC, and Tribal Gaming Authority), external auditors and executive management personnel on a regular basis. Advises casino management and makes recommendations in regards to all aspects of compliance issues, internal controls, policies and procedures and practices. Ensures compliance reviews are performed and documented to identify material and immaterial weaknesses. Reviews include but are not limited to: covert observations, examination of documentation, employee interviews, completion of audit checklists, documentation of exceptions, management notification, recommendations for corrective action and follow-up. Reviews exception reports prepared by Internal Auditors, External Auditors, NIGC, and IRS, investigates instances of non-compliance and collaborates with management to ensure corrective action plans are established and implemented. Prepares a management response and performs follow-up to ensure compliance. Performs risk assessments at least annually or when changes in the operational risk profile affect the operations perceived risks. In accordance with FinCEN regulations, develops Compliance programs which are designed to mitigate risks inherent with specific business products and services offered, guest base, geographic location, etc. Develops the Title 31 Training Program and collaborates with training staff to implement and monitor the training of all casino employees, including new casino employees, and the continuing education of all employees in Title 31 Regulations. Ensures Title 31 regulatory reports (CTRs, SARs) are prepared, filed and retained as required by Federal regulations. Ensures completed Title 31 documentation and automated system data is reviewed and exceptions reported. Reviews and approves reports and/or Notices of Non-Compliance prepared by Compliance staff. Responsible for hiring and training processes, performance reviews, employee professional development, solid employee support systems for subordinates, implementing employee behavior corrective action and termination of employment within the Compliance Department. Actively keeps abreast of the latest gaming industry regulatory changes or developments and ensures that casino executive management is informed. Plans and prepares the department budget to meet organization objectives and manages expenditures. Provides brief reports which include the status of compliance plans, issues, resolutions, updates or changes, department activities and staffing to the General Manager. Attends, and satisfactorily completes all required training as assigned and required. Manages and maintains security of confidential information entrusted to position. Marginal Functions Other duties as assigned. Essential Competencies An individual must be proficient in each of the competencies listed below to successfully perform the responsibilities of this position.
Knowledge Excellent knowledge regarding IRS and FinCEN regulations. Skills and Abilities Excellent interpersonal, communication, organization, management, analysis and problem resolution skills are required. Ability to handle multiple tasks and job duties simultaneously. Must be highly motivated, organized and methodical. Critical thinking- Evaluates arguments or propositions; makes judgments that can guide the development of beliefs and taking action. Discovers a rule or principle underlying the relationship between two or more objects and applies it to solving a problem. Results oriented- Organizes and carry out courses of action to manage likely situations. Makes things happen and achieves practical results. Makes sacrifices and works well for big returns. Problem solving- Recognizes problems and devises and implements plan of action. Evaluates progress and revises plan as needed. Setting goals and measuring performance- Understands work requirements and improves levels of competence. Sets goals and considers strategies to select those that balance progress toward goals against unwanted costs. As the task evolves monitors and measures the accumulating effects of the situation. Uses performance measures to improve work processes. Managing Human Resources- Assesses knowledge and skills and distributes work accordingly, evaluates performance, and provides comments and feedback. Assesses needs and obtains training resources for workplace learning activities. Exercises leadership- Communicates thoughts, feelings, and ideas to justify a position. Encourages, persuades, and convinces others to maintain high standards. Uses an appropriate leadership style for different situations. Responsibly challenges the status quo. Establishes credibility through competence and integrity. Creates and maintains motivation- Includes activities that may help a supervisor and subordinate work together and activities which may lead to an environment conducive to efficient work. Mathematical Skills: Ability to add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions, and decimals, and work with mathematical such as probability and inference. Language Skills: Excellent oral and written communications skills. Spanish or other language skills a plus. Reasoning Ability: Ability to define problems, collect data, establish facts, and draw conclusions. Ability to understand complex instructions and material. Ability to mentally process abstract ideals. Physical Activities The physical activities described here are representative of those that must be met and are encountered by an employee to successfully perform the essential functions of this job.
While performing the duties of this position, the employee is regularly required to stand, sit, walk, bend for extended periods; reach with hands and arms; talk and listen on a regular basis. The employee must be able to concentrate for prolonged periods. Specific vision abilities required by this job include close vision, distance vision, peripheral vision and depth perception. The employee must be able to communicate effectively in person or using telecommunications equipment. The employee must have the hand-eye coordination and manual dexterity to operate a keyboard, touch-screen display, telephone and calculator. Work Environment The work environments described here are representative of those that must be met and are encountered by an employee to successfully perform the essential functions of this job.
Ability to work for extended periods in an office under artificial fluorescent lighting with varying noise levels and in a smoke filled environment. The employee must be able to perform under pressure and work long hours under stressful conditions. The employee may be exposed to the risks associated in attempting to resolve issues with difficult guests and extremely irate staff members. Availability An individual must have the following job availability to perform one or more essential functions of this position.
Location: 794 Lucky Eagle Drive, Eagle Pass, TX 78852 Flexibility: The employee may need to work nights, weekends, holidays and/or extended hours if required. Travel Traveling may be necessary to perform one or more essential functions of this position.
REQUIRED ENTRY CRITERIA Education and Experience Bachelor's degree from a four-year college or university and three (3) years' experience in all aspects of casino Compliance; or five to seven (5-7) years' experience in all aspects of casino Three (3) years' management experience . Other Criteria Must be at least 18 years of age. Required to provide one of the two prior years adjusted gross income amounts listed on the Federal tax return which can be confirmed by IRS to properly complete IRS TIN Matching Program registration. KTTT Gaming Commission Gaming License, including successful completion of background check necessary to obtain and maintain License. Responsible to keep all documents current and valid at all times. Must be able to provide authorization to work in the United States. Must have access to reliable transportation to commute to and from work. PREFERRED ENTRY CRITERIA Education and Experience Previously served as Director of Compliance at another tribal casino. Other Criteria Native American preference is observed.