Compliance Manager jobs in Kentucky

Compliance Manager manages the compliance programs, policies, reporting, and practices for an organization or business. Ensures that all activities follow regulatory requirements related to the governance of the organization as well as any industry-specific or location-specific laws. Being a Compliance Manager oversees internal controls and auditing systems that monitor and report on regulated activities and processes. Implements risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Additionally, Compliance Manager evaluates and implements changes to compliance processes due to new or amended regulations. Delivers communication and training initiatives that inform stakeholders about compliance requirements. Requires a bachelor's degree or equivalent. Typically reports to a director. The Compliance Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. To be a Compliance Manager typically requires 5 years experience in the related area as an individual contributor. 1 - 3 years supervisory experience may be required. Extensive knowledge of the function and department processes. (Copyright 2024 Salary.com)

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Compliance Manager
  • Turfway Park
  • Florence, KY FULL_TIME
  • ESSENTIAL DUTIES AND RESPONSIBILITIES include the following.  Other duties may be assigned.

    • Functions as a liaison between the Company and the Kentucky Horse Racing Commission (“KHRC”) and/or its designees.
    • Communicates with the other regulatory and licensing bodies as appropriate.
    • Conduct research of operational, compliance related issues and process any self-reporting incidents to the KHRC.
    • Respond to written notices, audit findings, and submit gaming rules, internal controls, standard operating procedures, exhibits, and compendiums for regulatory approval when required.
    • Provide property specific support in managing the regulatory affairs of the company.
    • Reviews individual department internal controls, standard operating procedures, and supporting exhibits to ensure they are appropriate and in accordance with the aforementioned regulations.  This department serves as the depository for these documents. 
    • Updates master copies of company internal controls, standard operating procedures, and supporting exhibits as they are presented by the individual departments and/or Executive Management staff.  Coordinate updates affecting other departments when changes occur.
    • Researches applicable laws, regulations and rules to provide operational support to Executive and Departmental Managers and to alert Executive Management to regulatory violations for correction.
    • When notified by Marketing of new KHRC exclusions, exclusion removals, exclusion updates, self-exclusions, self-exclusion removals, and self-exclusion updates, ensure activity is properly inputted in the player tracking system. 
    • The BSA Officer or designee will formulate, implement, monitor, and audit all relevant training.
    • The BSA Officer is responsible for documenting the annual AML Risk Assessment process.
    • The BSA Officer is responsible for CTRs (including any amendments), supported by the research to report the CTRs conducted by Finance.
    • The BSA Officer will investigate and retrieve all applicable documentation when a Report of Unusual Activity (“RUA”) is received from team members, review with the AML Committee, and files all SARs that the AML Committee votes to file.
    • The BSA Officer conducts Enhanced Due Diligence on a quarterly basis, based on risk-based directives from CDI.  The results are reviewed with the AML Committee for any applicable action(s).
    • Prepare applicable reports, schedules, and related for the Compliance Committee of the Board of Directors.
    • Provide assistance in data compilation to corporate for KHRC-related filings.
    • Functions as property liaison to the corporate office on compliance and related legal matters.
    • Confidentiality and strong ethical standards are a must.

    QUALIFICATIONS

    • To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.  The requirements listed below are representative of the knowledge, skill, and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

    EDUCATION/EXPERIENCE

    • Bachelor’s degree in a business or related field required.  Prior gaming industry experience in a highly regulated environment preferred.

    LANGUAGE ABILITY

    • Ability to read and interpret documents such policies, procedures, internal controls and governmental regulations.  Ability to write reports, correspondence and procedures.  Ability to effectively communicate information and respond to questions from managers, regulators and the general public.

    MATH ABILITY

    • Ability to accurately calculate figures and amounts and perform mathematical functions according to business needs. 

    REASONING ABILITY

    • Ability to define problems, collect data, establish facts and draw valid conclusions.  Ability to interpret and follow through on a variety of instructions furnished in written, oral, diagram or schedule form.

    COMPUTER SKILLS

    • Must possess intermediate computer skills and have experience with Microsoft Office products (Excel, Word, PowerPoint and Outlook).   

    CERTIFICATES AND LICENSES

    • Must be able to obtain and maintain appropriate licensing from the KHRC. 

    SUPERVISORY RESPONSIBILITIES

    • This position will supervise the Compliance department.

    WORK ENVIRONMENT

    • The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
    • When working in the office, the noise level is moderately quiet.  When on the casino floor, the noise level is loud and the employee will be exposed to cigarette smoke on the casino floor. 

    PHYSICAL DEMANDS

    • The physical demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
  • 1 Month Ago

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Compliance Manager
  • Turfway Park Racing and Gaming
  • Florence, KY FULL_TIME
  • ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned. Functions as a liaison between the Company and the Kentucky Horse Racing Commission (“KHRC”) and/or its desig...
  • 1 Month Ago

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Senior Manager, Trade Compliance
  • MCKESSON
  • LOUISVILLE, KY FULL_TIME
  • McKesson is an impact-driven, Fortune 10 company that touches virtually every aspect of healthcare. We are known for delivering insights, products, and services that make quality care more accessible ...
  • 18 Days Ago

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Quality and Compliance Manager
  • Senior Community Care of Northern Kentucky
  • Florence, KY FULL_TIME
  • Senior Community Care of Northern Kentucky is looking for a Quality and Compliance Manager to join the team. If you have a passion for service, affinity for caring for the senior community and thrive ...
  • 18 Days Ago

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Environmental Compliance Manager
  • Petro Towery, Inc.
  • Richmond, KY FULL_TIME
  • Petro Towery is looking for a motivated, self starter to manage our compliance department. "ARE YOU UP FOR THE CHALLENGE?"We are happy to provide you with a competitive wage, up to 7 weeks PTO (paid t...
  • 20 Days Ago

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Environmental Compliance and Sustainability Manager
  • Beam Inc.
  • Frankfort, KY FULL_TIME
  • Beam Suntory is Crafting the Spirits that Stir the World. Rooted in two centuries of family heritage, Beam Suntory has evolved into the world's third largest leading premium spirits company ... where ...
  • Just Posted

K
IT Compliance Manager
  • Kharon
  • Los Angeles, CA
  • TL;DR Kharon is seeking a full-time, GRC Program Manager. Responsibilities: Lead and manage Kharon's InfoSec GRC program...
  • 3/28/2024 12:00:00 AM

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Compliance Manager
  • Chapman Management Group
  • Washington, DC
  • Job Description Job Description Benefits: Competitive salary Dental insurance Health insurance Paid time off Vision insu...
  • 3/28/2024 12:00:00 AM

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Compliance Manager
  • Harding Shymanski
  • Evansville, IN
  • Job Description Job Description Seeking an experienced Internal Auditor/Compliance Manager with 4-8 years of regulatory ...
  • 3/25/2024 12:00:00 AM

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Compliance Manager
  • Apartment Management Consultants, LLC
  • West Palm Beach, FL
  • We are currently seeking a Compliance Manager! The Compliance Manager is responsible for ensuring compliance in Low-Inco...
  • 3/25/2024 12:00:00 AM

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Compliance Manager
  • eTeam
  • New York, NY
  • Job Title: Compliance Officer/Compliance Manager Duration: 09+ Months + High possibility of extension Location: New York...
  • 3/24/2024 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Arlington, VA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Mc Lean, VA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

Kentucky (/kənˈtʌki/ (listen) kən-TUK-ee), officially the Commonwealth of Kentucky, is a state located in the east south-central region of the United States. Although styled as the "State of Kentucky" in the law creating it, (because in Kentucky's first constitution, the name state was used) Kentucky is one of four U.S. states constituted as a commonwealth (the others being Virginia, Pennsylvania, and Massachusetts). Originally a part of Virginia, in 1792 Kentucky became the 15th state to join the Union. Kentucky is the 37th most extensive and the 26th most populous of the 50 United States. Ke...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Manager jobs
$112,440 to $154,021

Compliance Manager in Asheville, NC
Usually, compliance managers develop and implement control systems for dealing with violations of compliance guidelines and policies.
February 09, 2020
Compliance Manager in Binghamton, NY
Compliance managers should have great leadership capabilities with the natural ability to solve serious problems.
December 17, 2019
Compliance Manager in Springfield, OR
Given the increasing volume of work, it’s no surprise that compliance manager salaries are on the rise.
December 22, 2019