Position is responsible for the direction of the compliance program and other administrative tasks as assigned by the Director of Finance, management or the Board of Directors. Accountable for the performance and documentation of work in accordance with management’s directions to develop and ensure compliance with the internal control system, Federal Bank Secrecy Act, standard operating procedures, internal checklists, manuals, industry notices, and other materials promulgated by the Iowa Racing & Gaming Commission.
- Responsible for all compliance related functions of the casino, including all gaming compliance filings and trainings and day-to-day compliance with Title 31.
- In coordination with management, oversees the internal compliance program with outside auditors and regulators, and assists in the preparation and communication of responses to audits and notices of non-compliance.
- Partners with departments to review and revise the internal control system and standard operating procedures.
- Coordinates compliance committee duties, including preparation of documentation for meetings and reporting results.
- Monitors and tracks the necessary periodic compliance-related trainings of the Team Members for the property in coordination with the Human Resources Department.
- Responsible for oversight of the responsible gaming and self-exclusion program.
- Ensures that all necessary permits and licenses for the casino are obtained and maintained in good standing, and responsible for making timely regulatory reports and filings.
- Acts in the capacity of liaison to regulatory agencies.
- Provides independent examination or review, as necessary, of personnel disputes or grievances, certain financial transactions, and administrative matters.
- Completes other duties as assigned.
Must have ability to:
- Effectively communicate verbally and in writing.
- Communicate effectively with all levels of employees as well as outside contacts.
- Review and comprehend all necessary documentation.
Education: Bachelor's degree in business related or similar field. Professional Experience: 3 years or more experience and/or formal training in accounting, auditing, or regulatory compliance and reporting. Relevant Experience: Banking, other financial institution, casino, public accounting and regulatory agency. Prior gaming compliance or internal audit helpful.
REGULATORY AND COMPLIANCE RESPONSIBILITIES
In addition to the other duties described herein, each and every employee has the following responsibilities related to compliance with laws and regulations:
- Attend required training sessions offered by the Hard Rock Hotel & Casino Sioux City.
- Perform the duties described in compliance with local laws and regulations.
- Take the necessary steps to ensure minors are not allowed to gamble or loiter in gambling areas, drink alcoholic beverages, or purchase tobacco.
- Have knowledge of the ordinances, regulations, laws, policies, and procedures relating to the employee’s department.
- Have knowledge of the Property’s programs to address problem gambling.
- Consults with the appropriate individuals and maintains and effective system of written policies, procedures, and internal controls to ensure compliance with Iowa Racing & Gaming Commission Regulations and Internal Controls.
- Takes the appropriate steps to investigate exceptions, fraud, and potential violations and report such instances to the appropriate levels of management.
Reports any acts of wrongdoing on behalf of any staff member that they have knowledge of.