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The Manager of Compliance is responsible for ensuring the continuing integrity of operations and adherence to applicable laws, rules, regulations, policies and procedures of company; Performs operational audits based on Gaming Inspection and Coordination Bureau/AML Regulations as well as annually audited minimum internal controls and compliance with prescribed operating policies and procedures; Maintains company’s Anti Money Laundering (AML) Program and ensures to follow up and corrective action for any violations therein; Plays the role of AML Officer in the property.
•Ensures compliance with the minimum internal control standards throughout company
•Reviews contracts and purchase agreements to ensure compliance with all applicable regulations.
•Works with other team members in each department to design and develop internal control procedures as well as training programs, and will need to keep up to date with casino regulations.
•Participates in the implementation of KYC initiatives and best practices
•Designs adjustments of internal controls within the established procedures, for presentation and approval. Recommends training of internal controls for all departments, as needed.
•Investigates, analyzes and reports on financial transactions and customer data for possible suspicious activity, regulated high value transactions, logged transactions, money laundering and/or other violations according to AML regulations.
•Conducts customer transaction monitoring as the second-level inspector and propose STR filling when required; -Make AML related reports i.e STR, monthly reports, AML dashboard
•Design, implement and facilitate AML training as required for new hires (employee orientation) as well as existing employees.
•Must observe gaming activity as it takes place, investigating compliance and ensuring that any problems with gaming compliance are rectified as quickly as possible.
•Investigates and responds to all Gaming commission exception reports and submits written findings to the General Manager, appropriate department supervisors, and the President.
•Serves as the liaison with regulatory agencies as required and is responsible for submitting applicable regulatory filings.
•Communicates noncompliance procedures effectively to department managers to ensure a complete understanding.
•Investigates and resolves all material exceptions resulting from internal work, with results of each being documented and retained for a period of five years. Is expected to deliver detailed reports of compliance, audit programs and respond to external audits.
•Monitors the correction and implementation of all procedures identified in exception reports.
•Reviews and audits each department quarterly to assure knowledge and compliance of internal controls.
•Reviews theoretical hold reports and refers variances to appropriate supervisor for immediate investigation and resolution of issues.
•Performs operation audits and procedural reviews of non-gaming activities
•Provides courteous professional services and is cordial to internal and external guests and/or vendors.
•Performs other related duties as assigned.