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The prevention of money laundering and the financing of terrorism

Standing of the nominated officer

5.6 The nominated officer is responsible for the oversight of all aspects of the casino operator’s AML/CTF activities at all premises. They are the focal point for all activity within the operator relating to AML. The individual appointed as nominated officer must have a sufficient level of seniority. The nominated officer should hold a personal management licence (PML) issued by the Commission. The job description of the nominated officer should clearly set out the extent of the responsibilities given to them and their objectives. The nominated officer will need to be involved in establishing the basis on which a risk-based approach to the prevention of money laundering and terrorist financing is put into practice.

5.7 The nominated officer must:

  • have the authority to act independently in carrying out their responsibilities
  • be free to have unhindered access to the Commission and appropriate law enforcement agencies, including the NCA
  • be free to liaise with the NCA on any question of whether to proceed with atransaction in the circumstances, that is, in relation to a defence (appropriate consent).

5.8 In determining the status of the nominated officer and identifying the appropriate position for this officer within the overall organisational structure, casino operators need to ensure their independence within the business and that they have access to all relevant information to enable them to discharge their duties. Responsibilities will include objectively reviewing decisions and, on occasions, making recommendations that may conflict with, for instance, short term operational goals.

5.9 The Commission recognises that some casino operators may have a structure in which thenominated officer will hold other roles and responsibilities. The Commission is content, for example, that the nominated officer may take on other compliance roles and responsibilities. However, this is subject to the key principles set out here, including the ability to report directly to the board (or the head of the organisation) and the NCA, and the ability to make AML decisions independently of operational concerns.

5.10 The casino operator's senior management must ensure that the nominated officer has sufficient resources available, including appropriate employees, technology and training.This should include arrangements that apply in the temporary absence of the nominatedofficer.

5.11 Where a nominated officer is temporarily unavailable, another PML holder may deputise. Casino operators should consider appointing a permanent deputy nominated officer.

5.12 Where a casino operator's nominated officer delegates to another employee, the nominated officer remains responsible for AML issues and is likely to remain liable for the commission of any criminal offences relating to POCA, the Terrorism Act or the Regulations. The Commission strongly recommends that in such circumstances:

  • the fact, date and time of such delegation be entered contemporaneously in a written record
  • the delegate should counter-sign by way of acceptance of responsibility
  • all employees who need to be aware of the delegation should be notified immediately.

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