Job Description

Job Description

Job Description

SUMMARY

In accordance with the overall company compliance plan, the Compliance and Risk Manager is responsible for assisting in the process of developing, implementing, and monitoring compliance with the property’s internal controls and standard operating procedures, so ensuring compliance with applicable Federal and State gaming and non-gaming regulations. In addition, this position will be primarily responsible for guest and employee claims processing and insurance preparation and filings. Assists with the overall administration of the AML Compliance Program including Title 31 compliance. The Compliance and Risk Manager reports directly to the Senior Director of Compliance.

SPECIFIC DUTIES AND RESPONSIBILITIES

The work environment characteristics described here represent those a Team Member encounters while performing the essential functions of this job with or without reasonable accommodations. This list of duties and responsibilities is not intended to be all-inclusive but a general illustration. It may be expanded to include other duties and responsibilities deemed necessary.

• Assists the Director of Compliance in researching and communicating operational, compliance related issues to Kentucky Horse Racing and Gaming Commission (KHRGC).
• Respond to written notices, audit findings, and submits gaming rules, internal controls, standard operating procedures, exhibits, and compendiums for regulatory approval when required.
• Provide property specific support in managing the regulatory affairs of the company.
• Assists in the creation of the internal controls, certain standard operating procedures, and other required plans of the property in coordination with the KHRGC.
• Updates databases with new self-exclusions, KHRGC exclusions, and their removals or updates, ensuring all activity is accurately recorded in the appropriate systems.
• Assists with Currency Transaction Report (CTR) filing and documentation supported by the research to report the CTRs conducted by Finance.
• Assists in investigating and retrieving all applicable documentation when a Report of Unusual Activity (RUA) is received from team members, review with the Anti-Monday Laundering (AML) Committee, and files all Suspicious Activity Reports (SAR) that the AML Committee votes to file.
• Provide assistance in data compilation to corporate for KHRGC related filings.
• Coordinates, reviews, and manages guest incidents and general liability claims.
• Works with Corporate to coordinate the property’s insurance renewals working with third party administrators.
• Provides support to the applicable senior leadership in the compilation and submission of filings to the KHRGC other governmental agencies.
• Coordinates and maintains contract/lease agreement files, vehicle/fleet records, required facility licenses and permits and various company matrices. Serves as the repository for contracts, licenses and permits and subpoenas.
• Performs a variety of administrative functions such as scheduling appointments, giving information to callers, composing memos, transcribing notes, researching and creating presentations, filing, typing and file organization.

STANDARDS OF PERFORMANCE

• Always maintain strict confidentiality.
• Ability to read, analyze, and interpret standard documentation.
• Identify problems, collect data, establish facts, and draw valid conclusions.
• Interpret an extensive variety of instructions, troubleshooting when necessary.
• Achieve operational excellence by demonstrating effective leadership skills.
• Maintaining a professional working relationship among all team members.
• Effective oral and written communication skills.
• Works well under pressure in a fast-paced environment.
• Able to work a flexible schedule, including some nights, weekends, and holidays.

EDUCATION, TRAINING, AND EXPERIENCE

• A bachelor’s degree with relevant management experience is required.
• General knowledge of gaming regulations and practices preferred.
• Ability to accurately calculate figures and amounts and perform mathematical functions
• according to business needs.

ESSENTIAL PHYSICAL REQUIREMENTS

• Requires the ability to hear, sit, stand, talk, and walk with repetitive use of hands 51-100% of the time.
• Up to 25% travel when necessary
• Requires the ability to balance climb, bend over, crawl, crouch/stoop, kneel, reach overhead a turn/twist 1-24% of the time.
• Requires the ability to push/pull, carry, lift, slide/transfer 1-50+ lbs. 1-24% of the time.

LICENSING & CERTIFICATION

• Able to obtain and maintain a valid Kentucky Horse Racing and Gaming Commission license.

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