COMPLIANCE SPECIALIST

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Job Type

Full-time

Description

The Compliance Specialist supports the Compliance Department by performing daily audits, monitoring adherence to internal controls, and ensuring compliance with applicable federal and state gaming regulations. This position assists in the administration and maintenance of Title 31, Title 26, and Anti‑Money Laundering (AML) programs and supports regulatory reporting, document retention, and compliance training processes.

A gaming license is preferred but not required. Candidates with prior experience in banking, gaming, or other regulated industries are encouraged to apply; however, relevant transferable experience will also be considered. Knowledge of Anti‑Money Laundering (AML), the Bank Secrecy Act (BSA), and/or Title 31 compliance is a strong plus, though training may be provided for candidates who demonstrate strong analytical skills, attention to detail, and a willingness to learn.

Essential Job Functions / Duties

• Conducts daily audits of documents generated from gaming, cage, slots, retail, and food and beverage operating departments.
• Ensures compliance with internal control standards, Title 31, Title 26, AML, PCI, and applicable gaming regulations.
• Assists in the review and reconciliation of Currency Transaction Reports (CTRs); logs exceptions and identifies incomplete or inaccurate submissions.
• Identifies and traces potentially reportable transactions for Title 31, Title 26, and AML compliance purposes.
• Supports the Compliance Manager with monitoring and administration of compliance training programs, including electronic testing, follow‑up, and exception tracking.
• Assists with the processing and documentation of Suspicious Activity Reports (SARs).
• Maintains compliance records, documentation, and retention logs in accordance with regulatory requirements.
• Identifies discrepancies through daily audits and communicates findings to department leadership for corrective action.
• Assists in coordinating internal and external audits, including regulatory and third‑party examinations.
• Assists in the preparation of periodic compliance activity and exception reports for committee or leadership review.
• Monitors sensitive key transactions in the absence of management staff.
• Ensures proper storage, security, and retention of sensitive documents using manual and electronic systems.
• Conducts regulatory research related to compliance requirements and internal control updates.
• Communicates with internal departments to resolve compliance‑related questions or audit findings.
• Assists with gathering and compiling data required for regulatory submissions, petitions, or administrative responses.
• Performs clerical and administrative functions to support Compliance Department operations.
• Performs other duties as assigned.

Job Specifications

• Must be at least 21 years of age.
• Three or more years of relevant experience preferred; a combination of education and experience or an associate degree or higher is a plus.
• Background in banking, gaming, financial services, or another regulated industry preferred but not required.
• Strong organizational skills and exceptional attention to detail.
• Excellent analytical and problem‑solving abilities.
• Ability to efficiently manage and analyze large volumes of transactional data.
• Proficiency with Microsoft Office applications and experience with automated financial or compliance systems.
• Knowledge of AML, BSA, and/or Title 31 regulations is highly desirable.
• Ability to maintain confidentiality and handle sensitive regulatory information with discretion.

Certification Requirements

• Responsible for selling, serving, or distributing alcoholic beverages: No
• Gaming License: Preferred but not required; subject to jurisdiction

Physical, Environmental & Other Requirements

This position may require standing, walking, sitting, lifting, carrying, pushing, or pulling up to 20 lbs, as well as bending, kneeling, reaching, observing, hearing, and communicating. Regular attendance at meetings with internal team members and external stakeholders is required.