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Director of Compliance - WarHorse Gaming, LLC.

Company: Festival Fun Parks, LLC
Location: Bellevue
Posted on: May 15, 2022

Job Description:


The Director of Compliance is responsible for supporting all levels of management, providing the regulatory compliance perspective on all global initiatives and special projects, and functioning as a liaison to local, state and federal regulators and internal audit to minimize regulatory risk throughout the organization. - This position will direct compliance operations by working within the regulatory framework and providing input and support of policy development, and act as a coaching and training partner to all property compliance personnel in order enhance regulatory knowledge and operational understanding, while promoting compliance - with applicable laws and regulations across the organization. - -


Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Practices, supports and maintains the Mission, Vision and Values of WarHorse Gaming, LLC.

Provides prompt, courteous guest service at all times following the casino's guest service standards. -

Develops, maintains, manages, and revises policies and procedures for the general operation of the WarHorse Gaming, LLC. compliance program and its related activities to prevent illegal, unethical, or improper conduct.

Develops, implements, and submits departmental Internal Controls, including all aspects of the Company's compliance program management.

Works with Vice President & General Counsel to facilitate a culture of compliance by interacting with the Compliance Committee and department leaders in the administration of Company compliance plans.

Oversees Company and property-wide gaming and non-gaming compliance at the local, state, and federal levels.

Maintains productive relations with local, state, and federal agencies and authorities.

Reviews internal audit reports and coordinates with property departments to address any concerns arising, and performs ongoing review of compliance policies and procedures.

Works collaboratively with established Compliance board/committee regarding - programs, policies and practices to ensure that all business units are in compliance with financial policy and reporting regulations.

Tracks law and regulations that might affect the organization's policies and implement.

Develops organizational compliance strategies by contributing information, analysis, and recommendations to strategic thinking and direction; establish functional objectives in line with organizational objectives.

Accomplishes human resource compliance strategies by determining accountabilities; communicate and enforce values, policies, and procedures; implement recruitment, selection, orientation, training, coaching, counseling, disciplinary, and communication programs; plan, monitor, appraise, and review job contributions; plan and review compensation strategies. -

Establishes operational compliance strategies by evaluating trends; establishing critical measurements; determine production, productivity, quality, and customer-service strategies; design systems; accumulate resources; resolve problems; implement change.

Avoids legal challenges by understanding current and proposed legislation; enforce regulations; recommend new procedures; comply with legal requirements.

Conducts or assists with the conduct of appropriate Suspicious Activity Report (SAR) investigations and review reporting processes that promote consistent decisions involving proper research and detailed documentation of findings.

Manages procedures and controls that minimize instances of fraud while protecting information privacy and security.

Collaborates with other departments (e.g., risk management, internal audit, human resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.

Responds to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures and develops and oversees a system for uniform handling of such violations.

Manages the design, development, execution, and monitoring of both core and refresher compliance training programs.

Establishes and implements systems to evaluate current status and future needs for compliance training plans and execute processes to meet and exceed regulatory compliance requirements.

Ensures proper reporting to relevant agencies as appropriate and/or required.

Acts collaboratively with the General Counsel, CFO, and other appropriate leaders as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.

Assists senior staff in developing and monitoring of key compliance indicators.

Manages other matters and projects as directed by the designated board/committee and General Counsel.

Performs other duties as assigned.


A satisfactory combination of applicable management experience and education may be considered in lieu of experience requirements.

Bachelor's Degree in business administration or related field; or equivalent work experience preferred.

Seven (7) years of managing compliance in gaming/casino industry with progressive supervisory/managerial responsibilities.

Excellent organizational skills and attention to detail.

Strong analytical and problem-solving skills, collaboration and team building, persuasion and influence, change management and leading change and process improvement.

Demonstrated ability to manage and prioritize multiple priorities while maintaining a high level of energy and output.

Proficient with Microsoft Office Suite or related software.

Anti-money laundering law and compliance experience.

Experience in designing, developing, and conducting compliance training.

Knowledge and experience with PCI compliance, rules, regulations, policies, procedures, and standards of conduct in connection therewith.

In-depth knowledge of legal and regulatory guidelines impacting the casino industry.


Leading Organization -

Ability to develop and communicate goals in support of the organization -

Balanced decision making -

Diagnostic information gathering Fosters teamwork and builds collaborative relationships -

Risk assessment capabilities -

Ethical Conduct -

Attention to detail -

Analytical thinking -

Strategic management

TRAVEL REQUIREMENTS: Travel is primarily local during the business day, although some out-of-area and overnight travel may be expected.

WORK HOURS: This is a full-time position. Typical days and hours of work are Monday through Friday, 8:00 a.m. to 5:00 p.m. Evening, weekend and holiday hours required, based on business need -


Is this position responsible for selling, serving or distributing alcoholic beverages or do they have comp authority? - Yes

Gaming License Required? Ability to secure and maintain NE Gaming License required.

Other Certifications? Driver's License - - - -

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Ho-Chunk, Inc. is an equal opportunity employer. All applicants are considered without regard to age, sex, race, national origin, religion, marital status, or physical disability. However, preference may be extended to persons of Native American descent in accordance with applicable laws.


Rating Scale

0 - Not Applicable to This Position

1 - Normal: - Conditions Similar to Everyday Life

2 - Above Average: - Beyond Normal Levels

3 - Extreme: - Extraordinary Levels -

Critical Job Elements: - For the questions that follow, use the rating scale above to describe the job.


1 Accessibility of all worksites required for the position

1 Exposure to weather and temperature extremes

1 Exposure to darkness

1 Exposure to cramped spaces

1 Exposure to loud noises

1 Exposure to chemicals and fumes

1 Exposure to dust

1 Exposure to heights

1 Exposure to work safety hazards

2 Exposure to secondhand smoke

1 Amount of overtime/extended work hours required


1 Physical mobility: - movement from place to place on the job, considering distance and speed

1 Physical agility: - ability to maneuver body while in place

2 Ability to lift up to 15 lbs.

2 Physical strength to handle routine office materials and tools

1 Dexterity of hands and fingers

1 Dexterity of feet

1 Physical balance: - ability to maintain balance and physical control

1 Coordination: - including eye/hand, hand/foot, etc.

1 Endurance: - prolonged physical activity with limited opportunity to rest


2 Concentration/intensity: - prolonged mental effort with limited opportunity for breaks

2 Memory, considering the amount and type of information

2 Complexity of decision making

2 Time pressure of decision making

2 Analytical thinking

2 Conceptual thinking


2 Fluency in English

0 Fluency in another language

2 Verbal communication

2 Written communication

2 Non-verbal communication


1 Ability to see

1 Ability to distinguish colors

1 Ability to hear

1 Ability to smell

1 Ability to taste

1 Sense of touch

Keywords: Festival Fun Parks, LLC, Bellevue , Director of Compliance - WarHorse Gaming, LLC., Executive , Bellevue, Washington

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