JOB DESCRIPTION
Position: Compliance Officer
Directly Reports to: President/General Counsel
Status: Salary
Description
Responsible for overseeing the Company’s compliance with Federal, State and local laws and regulations. Duties include coordinating with company management to identify potential risks, implementing policies and procedures to uphold laws and regulations and monitoring the company’s adherence to those policies and procedures. Ensures that all potential violations of regulations are investigated, and corrective actions are taken to ensure the ongoing safety and security of all guests and team members, as well as the safeguarding of company assets.
Responsibilities
- Serves as an active strategic leader with comprehensive responsibilities. Works with the Security, Risk Management and Surveillance teams to ensure successful development and implementation of company strategic plans.
- Provides updates to the company President and property concerns/issues.
- Reviews Security and Surveillance investigations concerning all incidents and issues taking place on property. Ensures all necessary reports are made and agencies such as the New Mexico Gaming Control Board, the New Mexico Racing Commission, the New Mexico Alcoholic Beverage Control Division and local law enforcement agencies are notified as needed.
- Ensures compliance with Federal, State and Local regulations and ordinances.
- Responsible for practicing, supporting, and promoting Sunland Park Racetrack & Casino’s culture of compliance and always demonstrating exemplary service standards.
- Constantly report to management concerning the organization’s compliance with laws and regulations.
- Takes action in dealing with noncompliance situations, creating realistic plans to overcome them.
- Conducts regular audits to identify potential weaknesses and noncompliance situations.
- Communicates with employees and makes sure everyone is aware of what they need to do to comply with internal policies and external laws and regulations.
- Assists in the training, implementation, and enforcement of the property Title 31 and Responsible Gaming compliance programs.
- Serves as liaison to the New Mexico Gaming Control Board to ensure timely responses to incident reports; reviews and prepares draft responses to compliance-related issues raised.
- Participates in preparation of annual license renewal submissions to the New Mexico Gaming Control Board and New Mexico Racing Commission.
- Provides mandated compliance training to new and existing staff, as needed.
- Works with company management and the New Mexico Gaming Control Board to ensure that significant changes to the company’s operating environment (e.g. new facilities, system upgrades, gaming mix changes, etc.) are completed in accordance with NMGCB regulations.
- Maintains organized set of detailed records and files to document transactions.
- Works closely with department managers to ensure they have a thorough understanding of gaming regulations and general procedures.
- Other duties as assigned.
Qualifications and Skills
- Must be proficient in Microsoft applications
- Must be able to work independently
- Critical thinker
- Good communication skills
- Must be at least 21 years of age to obtain a New Mexico Gaming work permit
Experience
- Minimum of three years’ experience in a compliance capacity role
- Minimum of three years supervisory experience
Preferred
- Experience in casino gaming and horse racing industries
- Experience with Title 31/Bank Secrecy Act
- Experience with Aristocrat Technologies’ Oasis system