Tribal Gaming Compliance Manager

Job Title: Compliance Manager 

Department: Compliance 

Gaming License: Class III 

FLSA Status: Exempt

Reports To: Executive Vice-President/Chief Financial Officer

Summary

Reports to the Executive Vice President/Chief Financial Officer and ensures compliance with all Federal, State and Tribal Gaming Regulations and ordinances as well as compliance with casino internal controls and policies and procedures. Also ensures follow-up on any documentation, correspondence, corrective and/or disciplinary action on formal violations of any of the above with the appropriate supervisory personnel. Performs or coordinates all assigned special projects.

Supervisory Responsibilities

Carries out responsibilities in accordance with the organization's policies and applicable laws. Responsibilities include interviewing, and training employees; planning, assigning, and directing work; addressing complaints and resolving problems.

Essential Duties and Responsibilities include the following. Other duties may be assigned.

• Maintains complete confidentiality at all times.
• Maintains and performs semi-annual compliance testing; submits results and provides corrective action to the Executive VP/CFO or other personnel as directed by the Executive VP/CFO.
• Maintains a constant and professional interaction and communication with all casino department heads and personnel regarding compliance and corrective action for non-compliance of Federal, State and Tribal Gaming Regulations as well as casino internal controls and policies and procedures.
• Performs professional correspondence, both written and oral, with various management and regulatory personnel.
• Works closely with the State and Community Regulatory Agency to respond to all reports requiring follow-up and corrective action.
• Sets up filing tracking systems for all reports and corrective action documentation for any violations.
• Provides monthly reports to the Executive VP/CFO as directed on violations and other compliance activities.
• Ensures that casino vendors are in compliance with licensing and other regulatory requirements.
• Randomly monitors casino activities internally for required compliance and any other regulatory compliance related activities as assigned or deemed necessary or appropriate.
• Serves as the central focal point for the creation and maintenance of internal controls, casino and department policies and procedures manuals.
• Coordinates with Community Regulatory Agency for approval of all new or revised internal controls, casino and department policies and procedures.
• Strives to ensure the privacy and confidentiality of all personnel matters pertaining to the performance of any compliance and/or special project duties.
• Performs and coordinates all special projects assigned and/or approved by the  VP/CFO and/or executive management.
• Ensures adherence to all company safety policies, procedures and responsibilities concerning accident prevention.
• Hires and trains Tribal Members consistent with the casino’s Community and Indian Preference guidelines.
• Responsible for the enforcement of all applicable regulations, under the code of Federal Regulations, Title 31, Chapter X, as it pertains to this position. This includes, but is not limited to, observing and reporting suspicious activity, of either customers or employees, as defined in the Code of Federal Regulations.
• Responsible for maintaining up-to-date knowledge of all applicable regulations under the Code of Federal Regulations, Title 31, Chapter X, by attending Title 31/Anti-Money Laundering training, provided by Casino Arizona, at least once a year or more if required by management and outlined in the Title 31 Minimum Internal Controls.

Education and/or Experience

High school diploma or general education degree (GED) required; Bachelor’s degree (BA/BS) with emphasis in business management, finance or other closely related field. Four (4) years experience required in governmental or gaming-related auditing and a minimum of two (2) years experience in compliance audit.

Computer Skills

To perform this job successfully, an individual should have excellent PC skills. Must have knowledge of MSWord, Excel and Outlook applications. Must have the ability to set up databases and a tracking systems for compliance records.

Other Qualifications

Must be able to work independently. Must have excellent oral and written communication skills to effectively communicate with department heads, vendors and governmental agencies. Must be able to read, interpret and understand laws, governmental regulations, procedures and other governmental communications and documents. Must have the ability to recognize non-compliant conditions prior to violations occurring and make necessary recommendations to management for corrective action to maintain compliance in advance. Must be able to make reasonable, professional and sound judgments on appropriate and necessary required corrective action to regain compliance for violations. Must be able to get along with co-workers and work as a team player. Must present a well-groomed appearance.

Language Skills

Must be able to read, write, speak and understand English.

Physical Demands

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.

While performing the duties of this job, the employee is regularly required to walk; sit; use hands and fingers to handle or feel; reach with hands and arms and talk or hear. The employee must regularly lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception and ability to adjust focus.

Work Environment

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job.

While performing the duties of this job, the employee is regularly exposed to secondary smoke. The noise level in the work environment is usually moderate.