At Northfield Park, the Compliance Specialist supports the property’s Compliance Department by performing daily audits, monitoring adherence to internal controls, and ensuring compliance with federal and state gaming regulations. This position assists in the administration and maintenance of the Title 31, Title 26, and Anti-Money Laundering (AML) Programs and supports regulatory reporting, document retention, and compliance training processes.

ESSENTIAL JOB FUNCTIONS/DUTIES:

List duties in order of time spent or importance. Essential duties and tasks that must be performed with or without reasonable accommodation.

• Conducts daily audits of documents generated from gaming, cage, slots, retail, and food & beverage operating departments.
• Ensures compliance with ICS, Title 31, Title 26, AML, PCI, and applicable OCCC/OLC/OHRC gaming regulations.
• Assists in the review and reconciliation of CTRs; logs exceptions and identifies incomplete or incorrect submissions.
• Assists with identifying and tracing potential reportable transactions for Title 31, Title 26, and AML compliance purposes.
• Supports the Compliance Manager with the monitoring and administration of Title 31/Title 26/AML training, including e-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 from daily audits and provides findings to department leadership for corrective action.
• Assists in coordinating internal and external audits, including IRS, OCCC, OLC, OHRC and third-party examinations.
• Assists in the preparation of quarterly reports of compliance activity and exceptions for review by the CTR/SAR/Compliance Committee.
• Monitors daily sensitive key transactions in the manager’s absence.
• Ensures proper storage, warehousing, and retention of sensitive documents using manual or electronic systems.
• Conducts regulatory research as directed regarding gaming 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:

Education, experience, skills required, equipment used.

• Must be 21 years or older.
• Three or more years of applicable experience, combination of experience and education or Associates or above degree preferred.
• Excellent organizational skills and attention to detail.
• Strong analytical and problem-solving skills.
• Ability to efficiently manage and analyze large volumes of transactional data.
• Proficiency with Microsoft Office Suite and experience with automated financial or compliance systems.
• Knowledge of standard casino departmental structures and business operations is preferred.
• Ability to maintain confidentiality and handle sensitive regulatory information.

CERTIFICATION REQUIREMENTS:

• Is this position responsible for selling, serving, or distributing alcoholic beverages or do they have comp authority? No
• Gaming License Required? TBD
• Other Certifications? TBD

PHYSICAL, ENVIRONMENTAL & OTHER REQUIREMENTS of the position with or without accommodation. Indicate the type of physical effort which is essential to the successful performance of this job: (Check all that apply)

• standing
• lifting 20 lbs
• observing
• turning
• walking
• bending/stooping
• carrying 20 lbs
• balancing
• sitting
• pushing 20 lbs
• kneeling
• hearing
• climbing
• reaching
• pulling 20 lbs
• stretching

Indicate any other requirements which are essential to the successful performance of this job:  

• Ability to communicate on the telephone (hearing)
• Ability to understand technical manuals
• Ability to speak English
• Ability to work amicably with co-workers
• Ability to write legibly in English
• Ability to learn tasks in a reasonable amount of time
• Ability to read instructions and numbers in English
• Ability to follow supervisor's instructions 
• Ability to complete tasks with numerous interruptions
• Regular attendance at meetings with both internal team members and external parties as appropriate, which may include enclosed office spaces and/or outdoor field site locations. Supervisor positions may include conducting and leading meetings.