Top Corporate Compliance Executive jobs in Santa Fe, NM

Top Corporate Compliance Executive provides leadership and direction for an organization's compliance programs, policies, reporting, and practices. 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 Top Corporate Compliance Executive oversees internal controls and auditing systems that monitor and report on regulated activities and processes. Develops risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Additionally, Top Corporate Compliance Executive evaluates and implements changes to compliance processes due to new or amended regulations. Establishes communication and training initiatives that inform stakeholders about compliance requirements. Requires a bachelor's degree. Typically reports to top management. The Top Corporate Compliance Executive manages a departmental function within a broader corporate function. Develops major goals to support broad functional objectives. Approves policies developed within various sub-functions and departments. To be a Top Corporate Compliance Executive typically requires 8+ years of managerial experience. Comprehensive knowledge of the overall departmental function. (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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Stylist
  • Regis Corporate
  • Farmington, NM FULL_TIME
  • STYLIST IN TRAINING WHAT WE OFFER Would you like to be one of our future stylists? If you’ve got the desire, we’ve got the knowhow to get you there. As a stylist-in-training in this temporary 90-day p...
  • 4 Days Ago

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Delivery Driver(07415) - 545 W. Craig Rd.
  • Domino's Corporate
  • Las Vegas, NM FULL_TIME
  • Job Description Delivery Drivers are responsible for delivering food to customers with excellent customer service and a positive attitude. Why deliver for us: Great pay - Our drivers receive a competi...
  • 10 Days Ago

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Top Rated Home Care Agency
  • Addus
  • Vadito, NM FULL_TIME,PART_TIME
  • Want a professional caregiver career or just to pick up a few shifts a week? You have options with a home care agency that cares - meet Addus. We are actively hiring caregivers to work within a few mi...
  • 4 Days Ago

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Sales Manager - Corporate
  • TAOS SKI VALLEY INC
  • Taos Ski Valley, NM FULL_TIME
  • Overseeing local and regional sales, promotions, and campaigns Directing and coordinating all sales activities locally, regionally, and nationally Preparing sales budgets and projections and approving...
  • 1 Month Ago

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0 Top Corporate Compliance Executive jobs found in Santa Fe, NM area

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Remote Regulatory Compliance Analyst (Insurance Industry)
  • National General Insurance
  • Santa Fe, NM
  • Job Description Position/Title: Remote Regulatory Compliance Analyst (Insurance Industry) ** NOTES: Ideal candidate will...
  • 3/28/2024 12:00:00 AM

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Leasing Specialist - Part-Time
  • 11 Residential
  • Santa Fe, NM
  • This position is located at the Talavera Apartments in Boise, ID. Talavera has a total of 81 units. ? About Us 11Residen...
  • 3/28/2024 12:00:00 AM

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Medical Technician-MA or CNA
  • Santa Fe Recovery Center, Inc
  • Santa Fe, NM
  • Job Type Full-time Description Santa Fe Recovery Center is a leading provider of substance use disorder and mental healt...
  • 3/28/2024 12:00:00 AM

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Personal Banker - Roving North Central New Mexico
  • WELLS FARGO BANK
  • 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...
  • 3/27/2024 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 Top Corporate Compliance Executive jobs
$223,528 to $351,000
Santa Fe, New Mexico area prices
were up 2.5% from a year ago