Compliance Manager (Banking) jobs in Santa Fe, NM

Compliance Manager (Banking) supervises daily operations to identify and respond to suspicious activity violating current anti-money laundering (AML) regulations as defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Uses oversight systems, interdiction software, and audit processes to perform daily transaction monitoring and identify suspicious activity patterns. Being a Compliance Manager (Banking) monitors activity and ensures adherence to Know your Customer (KYC) protocols and regulatory requirements for required filings and reporting. Leads investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Additionally, Compliance Manager (Banking) maintains extensive knowledge of financial regulations, risk management best practices, and changing fraudulent trends to develop and implement appropriate compliance procedures. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a director. The Compliance Manager (Banking) supervises a group of primarily para-professional level staffs. May also be a level above a supervisor within high volume administrative/production environments. Makes day-to-day decisions within or for a group/small department. Has some authority for personnel actions. To be a Compliance Manager (Banking) typically requires 3-5 years experience in the related area as an individual contributor. Thorough knowledge of functional area and department processes. (Copyright 2024 Salary.com)

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Compliance Manager
  • Ohkay Hotel Casino
  • Ohkay Owingeh, NM FULL_TIME
  • The Compliance Manager ensures compliance with Federal, State and Tribal Gaming Regulations and ordinances as well as compliance with gaming internal controls and policies and procedures as defined by Tsay Corporation. This individual also ensures follow-up on any documentation, correspondence, corrective and/or disciplinary action on formal violations of any of the above with the appropriate Management personnel. The Compliance Manager will establish, review and oversee the implementation of internal controls, as well as tax and tip reporting controls, to ensure compliance with Tribal, Federal and State regulations. The Compliance Manager will also ensure the protection of assets covered by the regulations and to ensure the integrity of the casino and casino games/gaming devices.  The Compliance Manager prepares regulatory reports as required by Tribal, Federal, State or other governing agencies.  Performs or coordinates all assigned Special Projects.

    DUTIES OF THE JOB

    PRINCIPLE RESPONSIBILITIES:

    • Establishes regulatory compliance programs for Tribal, Federal and State agency programs to include:  Department of Treasury Bank Secrecy Act (Title 31), IRS Form 1099, IRS Form W-2G and other programs as may be required.
    • Maintains and performs semi-annual compliance testing; submits results and discusses corrective action to the Casino Management, CFO and Human Resources Manager/Director.
    • Maintains a constant and professional interaction and communication with all casino department heads and personnel regarding compliance and corrective action for non-compliance of Federal, State and Tribal Gaming Regulations as well as casino internal controls and associated policy and procedures.
    • Perform annual compliance audits as required by Tribal, regulatory and Corp management.
    • Perform random audits as required by Tsay Corporation Management.
    • Develops and conducts regulatory compliance training programs for all applicable Ohkay Casino personnel.
    • Reviews compliance and discrepancy reports, Title 31 documentation, statistical reports and a variety of data/documentation generated through daily casino operations to verify accuracy and compliance with established regulatory compliance programs.
    • Provides training, guidance, and communication as needed to casino personnel regarding regulatory and internal control requirements, use of Complementary, Title 31, and associated policy and procedures.
    • Investigates instances of non-compliance as described above and follow-up to see if corrective actions are performed to facilitate compliance.  Performs follow-up investigations for ongoing compliance.
    • Sets up filing tracking system for all reports and corrective action documentation for any violations.
    • Provides period reports to the casino management on violations and other compliance activities.
    • Prepares and files reports required by regulation.
    • Ensures sensitive/non-sensitive keys are secured and ensures compliance with all key control standards.
    • Examines key authorization, signatory authorization and key control logs and reports discrepancies to casino management.
    • Must be professional and maintain confidentiality at all times.
    • Other duties as assigned.

    JOB REQUIREMENTS:

    Must have and maintain valid state-issued operator driver’s license.  Individual must be able to work under pressure and the ability to work odd and irregular hours including night and weekend schedules if required.  The ability to travel and participate in training as recommended or required.   Ability to obtain and maintain an Ohkay Owingeh Gaming License at all times of employment   GAMING INDUSTRY EXPERIENCE IS a plus.

    EDUCATION/EXPERIENCE:

    REQUIRED:

    • Must be twenty-one (21) years of age or older
    • Bachelor’s degree in Business (Accounting, Finance, Management).  Willing to consider five years casino experience or training or equivalent combination of education and experience.
    • Knowledge of Microsoft Excel and Windows mandatory.
    • Ability to comprehend regulatory and reporting standards and requirements. 
    • Ability to develop updated programs/training programs to comply with changing regulatory requirements.
    • Excellent written, oral, and interpersonal communication skills
    • Demonstrated ability to present ideas in business-friendly and user-friendly language
    • Highly self-motivated, self-directed, and attentive to detail
    • Ability to effectively prioritize and execute tasks in a high-pressure environment
    • Extensive experience working in a team-oriented, collaborative environment

    PREFERRED:

    • Knowledge of State Compact
    • Knowledge of Federal Regulations
    • Knowledge of IGRA
    • Knowledge of NIGC
    • Johnson Act
    • BSA/ Title 31 – Compliance and training
    • Knowledge and Experience with Internal Audits
    • Creation of Policies and Procedures
    • Knowledge of Slot Accounting Systems
    • General knowledge of Casino Environment

    PHYSICAL DEMANDS:

    The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.  The employee is frequently required to stand, walk, sit, use hands to finger, handle, or feel, reach with hands and arms, and talk or hear.  The employee is occasionally required to climb or balance, stoop, kneel, or crouch.  The employee may occasionally be required to lift more than 25 pounds. 

    WORKING CONDITIONS:

    Ability to work in a Casino environment, in the midst of noise, and crowded situations, etc

    Source: Casino Careers

  • 17 Days Ago

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COMPLIANCE MANAGER
  • Ohkay Casino
  • SAN JUAN PUEBLO, NM OTHER
  • Job Details Job Location: 340 HWY 68 - SAN JUAN PUEBLO, NM Position Type: Full Time Salary Range: Undisclosed Job Shift: Any DescriptionPOSITION SUMMARY: The Compliance Manger ensures compliance with ...
  • 1 Month Ago

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Hospital Compliance Program Manager
  • Clinical Management Consultants
  • Blanco, NM FULL_TIME
  • Calling all Healthcare Compliance professionals looking to advance their career by joining an award winning hospital in Northwestern New Mexico. A reputable hospital within the state of New Mexico is ...
  • 19 Days Ago

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Safety Professional (Compliance Manager)
  • Atlas Technical Consultants
  • Santa Fe, NM FULL_TIME
  • Atlas is a nationwide leader in civil engineering, materials testing and geotechnical consulting services for environmental, industrial and infrastructure construction projects. Headquartered in Austi...
  • 10 Days Ago

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Banking specialist
  • Enterprise Bank & Trust
  • Santa Fe, NM FULL_TIME
  • Enterprise Bank & Trust was founded in the spirit of entrepreneurship and community. From the small mom-and-pop coffee shop to the large construction company that employs local people, our goal is to ...
  • 4 Days Ago

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Senior Business Banking Officer
  • NBH Bank
  • Taos, NM FULL_TIME
  • Senior Business Banking Officer New Mexico, USA Req #4079 Thursday, November 9, 2023 At our Bank, we believe common sense is more than just banking. We believe in finding financial solutions that cate...
  • 1 Day Ago

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0 Compliance Manager (Banking) jobs found in Santa Fe, NM area

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Nurse Supervisor
  • University of New Mexico - Hospitals
  • Santa Fe, NM
  • UNM Hospitals participates in the Clinical Advancement Program (CAP) and depending on your Nursing Education and Nationa...
  • 3/29/2024 12:00:00 AM

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Charge Nurse
  • University of New Mexico - Hospitals
  • Santa Fe, NM
  • UNM Hospitals participates in the Clinical Advancement Program (CAP) and depending on your Nursing Education and Nationa...
  • 3/29/2024 12:00:00 AM

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Nurse Manager
  • University of New Mexico - Hospitals
  • Santa Fe, NM
  • UNM Hospitals participates in the Clinical Advancement Program (CAP) and depending on your Nursing Education and Nationa...
  • 3/29/2024 12:00:00 AM

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Human Resource Lead - Remote & Haiti
  • Amentum
  • Santa Fe, NM
  • Amentum, a large government contract company, is seeking a Human Resources Lead to support a pending contract award in H...
  • 3/27/2024 12:00:00 AM

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Insurance Financial Analyst Supervisor
  • Office of Superintendent of Insurance
  • Santa Fe, NM
  • Job Description Job Description Salary $41.01 - $59.47 Hourly $85,310 - $123,699 Annually Recruitment is ongoing and pos...
  • 3/27/2024 12:00:00 AM

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Personal Banker (Business and Financial Operations)
  • Wells Fargo
  • Santa Fe, NM
  • Why Wells Fargo: Are you ready for the next step in your career? This is where it begins – at a company known for our “W...
  • 3/26/2024 12:00:00 AM

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Personal Banker (Sales and Related)
  • Wells Fargo
  • Pojoaque, NM
  • Why Wells Fargo: Are you ready for the next step in your career? This is where it begins – at a company known for our “W...
  • 3/26/2024 12:00:00 AM

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Personal Banker (Sales and Related)
  • Wells Fargo
  • Pojoaque, NM
  • Why Wells Fargo: Are you ready for the next step in your career? This is where it begins – at a company known for our “W...
  • 3/26/2024 12:00:00 AM

Santa Fe (/ˌsæntəˈfeɪ/ or /ˈsæntəˌfeɪ/; Tewa: Oghá P'o'oge, Navajo: Yootó) is the capital of the U.S. state of New Mexico. It is the fourth-largest city in the state and the seat of Santa Fe County. This area was occupied for at least several thousand years by indigenous peoples who built villages several hundred years ago, on the current site of the city. It was known by the Tewa inhabitants as Ogha Po'oge ("White Shell Water Place"). The city of Santa Fe, founded by Spanish colonists in 1610, is the oldest state capital in the United States. Santa Fe (meaning "holy faith" in Spanish) had a p...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Manager (Banking) jobs
$72,520 to $111,439
Santa Fe, New Mexico area prices
were up 2.5% from a year ago

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