Compliance Specialist

Duties And Responsibilities

• Assist in developing, maintaining, and facilitating effective communication processes for all personnel of gaming operations.
• Ensure gaming management reports are generated in a timely and effective manner for all operational compliance matters.
• Ensure established procedures and processes are always utilized for maximum understanding and coordination of compliance matters.
• Assist with Audit Compliance by performing assessments of the Gaming Division through compliance testing and observation to evaluate departmental compliance status and identify areas that need additional follow up.
• Audit Gaming Management to produce responses for all audits conducted on Gaming, ensuring that corrective action plans correspond to noncompliant findings.
• Follow up on all audits conducted for Gaming by internal and external auditing entities.
• Collect and maintain accurate records and information regarding audit compliance, ensuring confidentiality is always maintained.
• Assists in formatting and developing internal controls for the Gaming Division to safeguard tribal assets and meet regulatory requirements.
• Review internal controls referencing all applicable Local, State, and Federal regulations.
• Lead and participate in special assignments and projects relevant to internal controls and regulatory issues.
• Aids in formatting and developing Standard Operating Procedures (SOPs) for the various Gaming Departments.
• Review SOPs referencing all applicable internal controls and required regulations.
• Work with each Gaming Department to maintain updated SOPs for the department’s Standard Operating Procedures Manual.
• Coordinate the dissemination of work standards, internal controls, and SOPs to all appropriate Gaming and Tribal Departments.
• Assist in interactive communication with the Audit Committee and other regulatory bodies by preparing compliance and observation reports for Gaming Management.
• Attend department meetings to provide input and recommendations for improving business processes/methods.
• Provide verbal and written updates and workload status to supervisor.

Standard Qualifications

• Knowledge and understanding of Gaming industry regulations, proposed rules, procedures, and controls.
• Knowledge of federal, state, and Indian Gaming regulations.
• Knowledge of audit procedures.
• Knowledge of CFR Title 31.
• Skill in operating business computers and office machines in a Windows environment, specifically Word, Excel, Access, and presentation software (such as PowerPoint).
• Ability to establish and maintain professional relationships with staff, clients, management or other departments as well as external agencies of varying social and cultural backgrounds and with co-workers at all levels.
• Ability to inform and communicate verbally and in writing in diverse and challenging situations.
• Ability to process information effectively, set priorities, meet strict deadlines and successfully cope with challenging situations and conditions.
• Ability to manage matters of regulatory compliance.
• Ability to handle multiple projects at one time, prioritizing and using time effectively while meeting deadlines.
• Ability to work independently with minimal supervision.
• Ability to define problems, collect data, establish facts and draw valid conclusions.
• Must adhere to strict confidentiality in all matters.

Minimum Qualifications

• Must be eighteen (18) years of age.
• Associate’s Degree in Auditing, Accounting, Communications or a related field.
• Three (3) years of experience in gaming regulatory auditing, accounting, regulatory reviews, and policy and/or procedures analysis.
• One (1) year working with regulations at the Federal, State or Tribal level; an equivalent combination of education and experience may be considered.

Physical Requirments/Work Environment

• Frequently sit, stand, walk, use hands, reach with hands and arms, talk and hear.
• Occasionally stoop, kneel, and lift and/or move up to twenty-five (25) pounds.
• Work is generally performed in an office setting with moderate noise level.
• Must be able to work evening, holiday and/or weekends, extended hours and irregular shifts.
• Work environment may NOT be smoke, noise, or dust free.