Compliance Auditor

Colonial Downs Group (CDG) is owned and operated by Churchill Downs Incorporated and consists of several different brands across Virginia: Colonial Downs Racetrack, Rosie’s Gaming Emporium, Rosie’s Game Room, Virginia Horseplay, Roseshire Gaming Parlor and The Rose Gaming Resort. CDG is an inclusive and fun place to work. We celebrate unique approaches and points of view. We believe diversity is a mindset that drives excellence. We’re always learning, evolving, and growing. We innovate through mutual respect of ideas and collaboration. This allows us to build a common language that inspires our team members and propels us toward the achievement of our vision.

JOB SUMMARY

Responsible for supporting the Company’s Title 31 Anti-Money Laundering (AML) compliance program by conducing compliance audits, transaction reviews, investigations, and monitoring activities in accordance with the Bank Secrecy Act (BSA), FinCEN requirements, gaming regulations, Company policies, and Internal Controls. This position is also responsible for performing detailed reviews of patron activity, validating BSA/AML documentation, conducting Title 31 process audits, reviewing Bank Secrecy Reports (BSRs), Currency Transaction Reports (CTRs), guest validations, and Enhanced Due Diligence (EDD) reviews, and assisting with investigations of unusual or suspicious activity. The Compliance Auditor partners with operational departments to identify compliance risks, support corrective actions, maintain accurate records, and promote regulatory compliance throughout gaming operations.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Perform Title 31 AML compliance audits, reviews, and testing activities to evaluate adherence with BSA, FinCEN regulations, Company policies, and Internal Controls.
• Perform assigned duties in compliance with all applicable federal, state, and local laws, gaming regulations, Company policies, and Internal Controls.
• Maintain confidentiality of patron information, investigations, and compliance records.
• Review and validate BSRs, CTRs, guest validations, EDD documentation, and other AML-related records for accuracy, completeness, and regulatory compliance.
• Conducts transaction monitoring reviews and investigates unusual activity, potential structuring, suspicious transactions, and other identified AML risks.
• Report suspected fraud, suspicious activity, policy violations, or regulatory concerns through the appropriate reporting channels.
• Assist with the preparation, documentation, and quality review of SAR filings, AML investigations, and supporting case documentation.
• Evaluate compliance processes and procedures to identify control gaps, exceptions, and opportunities for improvement; communicate findings and assist with corrective actions.
• Maintain accurate audit workpapers, investigation files, review documentation, and compliance records in accordance with regulatory and Company requirements.
• Assist with internal audits, regulatory examinations, and compliance testing by preparing documentation, responding to information requests, and tracking remediation efforts.
• Support the Company’s Title 31 AML program through effective auditing, monitoring, documentation, and maintenance of compliance controls.
• Partner with Cage Operations, Finance, Security, Surveillance, and other departments to support AML compliance reviews and resolve identified issues.
• Maintain current knowledge of Title 31, BSA/AML regulations, FinCEN guidance, gaming regulations, and Company policies.
• Perform other duties and special projects as assigned.

REQUIRED SKILLS AND ABILITIES

• Working knowledge of BSA/AML regulations, FinCEN reporting requirements, Title 31 compliance, CTRs, SARs, KYC, and EDD processes.
• Strong auditing, analytical, investigative, and problem-solving skills with exceptional attention to detail.
• Ability to review complex transaction activity, identify trends or anomalies, and document findings clearly.
• Strong written and verbal communication skills with the ability to effectively communicate compliance findings.
• Proficiency in Microsoft Office and compliance monitoring, audit, or case management systems preferred.
• Ability to function well in a high-paced and at times stressful environment.

EDUCATION AND EXPERIENCE

• High school diploma or equivalent required.
• Associate’s or Bachelor's degree in Business, Compliance, Finance, Criminal Justice, Accounting, or related field strongly preferred.
• One (1) to three (3) years of experience in gaming compliance, AML/BSA compliance, auditing, investigations, banking compliance, or another highly regulated industry strongly preferred.
• Other combinations of education and experience may be considered.
• Must obtain and maintain a valid racing license.
• Required to hold a valid Driver’s License with a minimum of three (3) years’ driving experience.

PHYSICAL REQUIREMENTS & WORKING CONDITIONS

• While performing the duties of this job, the Team Member is frequently required to sit or stand; walk; use hands to finger reach, handle, or feel objects, tools, or controls; reach with hands and arms; climb or balance; stoop, kneel, crouch, or crawl; and talk or hear.
• Primarily office-based with periodic property walks to conduct operational reviews, observations, and investigations.
• The Team Member may also be required to lift, push, and pull up to 25 lbs.
• The work environment may include exposure to gaming floors, crowds, flashing lights, moderate to loud noise, and smoking areas.
• The Team Member may be required to work long hours, including nights, weekends, and holidays.

The physical demands described here are representative of those that must be met by a Team Member to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or disability.