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Dir. Compliance

Company: Churchill Downs Incorporated
Location: Erie
Posted on: September 23, 2022

Job Description:


In accordance with the overall company compliance plan, the Director of Compliance is responsible for assisting in the process of developing, implementing, and monitoring compliance with the property's internal controls and standard operating procedures, so as to ensure compliance with applicable Federal and State gaming and non-gaming regulations. The Director of Compliance reports directly to the Vice President & General Manager and indirectly to the Sr. Counsel - Corporate Compliance Officer.

In working as the (Bank Secrecy Act) BSA Officer, has responsibility for the overall administration of the AML Compliance Program. The BSA Officer will also fulfill the role of OFAC Officer. The BSA Officer shall provide internal controls and written operation procedures to the appropriate PID departments and personnel. The BSA Officer is responsible for carrying out the direction of the CDI management and ensuring that employees adhere to the CDI AML Compliance Program.

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.

  • Functions as a liaison between the Company and the PA Gaming Control Board and/or its designees.
  • Communicates with the Pennsylvania State Police and the PA Liquor Control Board as appropriate.
  • Conduct research of operational, compliance related issues and process any self-reporting incidents to the PA Gaming Control Board.
  • 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 PA Gaming Control Board 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 track all 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 PGCB-related filings.
  • Functions as property liaison to the corporate office on compliance and related legal matters.
  • Confidentiality and strong ethical standards are a must.
  • May issue a complimentary in accordance with the approved comp matrix.


    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.


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


    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.


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


    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.


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


    Must be able to obtain and maintain appropriate licensing from the Pennsylvania Gaming Control Board.


    This position will supervise the Compliance department.


    The work environment characteristics described here are representative of those an associate encounters 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.


    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.

    The employee is regularly required to stand; speak; hear; used hands; and to reach with hands and arms. The employee may occasionally be required to sit. Specific vision abilities include close and distance vision; color and depth perception and peripheral vision. The employee must occasionally lift and/or move up to ten (10) pounds.

Keywords: Churchill Downs Incorporated, Erie , Dir. Compliance, Other , Erie, Pennsylvania

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