Compliance Analyst

2 months ago

Ottawa, Canada Hard Rock Cafe International (USA), Inc. Full time

Overview:
The Compliance Analyst is responsible for analysis, investigation, reporting and resolution of various types of activity including, but not limited to: money laundering, structuring, fraud, and other types of suspicious activity. The Compliance Analyst is responsible for daily review of all FINTRAC required reporting.

This position will also assist with development and updating Standard and Mandatory Operating Procedures, Control Activities, and conducting compliance investigations and reviews as required, conduct Risk Assessments as required for various business areas, and assist/lead in developing and refining Standard and Mandatory Operating Procedures as required

**Responsibilities**:
PRIMARY RESPONSIBILITIES
- Liaise with regulators and Subject Matter Experts on regulatory matters / audits and/or advise Business Services in their interaction with regulators.
- Review STRs prior to filing for accuracy, completeness, and concise, well-written STR narrative.
- Analyze account activity for the purpose of identifying and reporting Suspicious Activity.
- Perform investigations to identify suspicious activity using information provided by multiple sources.
- Create STRs as necessary and document analysis of all accounts reviewed including those cases, which do not result in a STR filing.
- Analyze various reports and data such as wire logs and currency reports for suspicious activity, transaction patterns, high-risk countries, etc. and perform appropriate investigations.
- Review customer accounts for potentially reportable suspicious activity following receipt of subpoena.
- Review and approve Customer Due Diligence reviews.
- Perform customer due diligence reviews and risk rating of customer accounts when necessary.
- Document all reviews and investigations by preparing thorough and detailed notes and/or summary that reflects a professional tone and factual statements.
- Respond to law enforcement requests for STR documentation as permissible and ensure responses are completed and delivered within prescribed deadlines.
- Perform reviews and testing of various procedures, current systems, interfaces, and responsibilities to ensure accuracy and compliance with FINTRAC regulations.
- Identify and recommend processes, policy and procedure changes and/or enhancements to help prevent and mitigate risk
- Assist all casino operation with AML related issues.
- Assist Compliance Staff with preparation for regulatory audits, AML risk assessments, and FINTRAC/OLG audits.
- Provide training and communications to compliance staff including new analysts.
- Assists in assessing and communicating AML issues and/or concerns to casino operations management.
- Commitment to routinely go above and beyond in the accomplishment of position responsibilities in an effort to play a role in the achievement of organizational goals.
- Other duties as assigned.
- Lives the Brand.

This job description reflects the position’s essential functions; it does not encompass all of the tasks that may be assigned.

Qualifications:
EXPERIENCE, EDUCATION, AND CERTIFICATIONS
- Post-secondary education required. Degree or Diploma in Business, Law, Public Administration, or comparable expertise preferred.
- 4-6 years of gaming business experience preferred.
- Experience in governance, compliance, risk management, audit, investigations or related experience in a regulated environment.
- Relevant professional designations as asset (e.g. compliance, risk, and audit designations).
- Regulatory Compliance Risk Management experience preferred Business Acumen.
- The ability to obtain registration as a Category 1 Gaming Assistant with the Alcohol and Gaming Commission of Ontario.

SKILLS
- Analytical, observational, organizational, interpersonal and communication skills.
- Must have a high proficiency level with computer skills to include MS Word, Excel and Access.
- SQL experience preferred.
- Must possess knowledge of casino operations, internal controls, and the PCMLTFA.
- Must have in depth understanding of AGCO Standards and relevant Control Activities.
- Must possess superior communication skills including; written abilities, active listening, grammar articulacy and telephone etiquette.
- Must possess high analytical ability and be able to work independently.
- Must possess ability to manage multiple tasks.
- Must be detail-oriented.
- Must possess excellent time management skills.

PHYSICAL DEMANDS
- Ability to stand and sit for extended periods of time.
- Ability to walk distances.
- Ability to work in small spaces.
- Ability to watch computer screens for extended periods of time.
- While performing the duties of this job, the employee is frequently required to stand; walk; use hands to finger, handle, or feel; reach with hands and arms, talk or hear; and taste or smell. Specific vision abilities required by this job include close, distance, color, and peripheral vision, depth perception and ability to adjust focus.
- The Casino enviro

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