Regulatory Compliance Officer

Duties & Responsibilities

• Be aware of and appropriately monitor casino promotions and complimentary items and services offered by the casino.
• Work with Accounting, Marketing and Gaming to ensure promotions are approved and compliant before execution.
• Conduct required Minimum Internal Control Standards (MICS) Audits to ensure compliance with federal and state regulatory minimum standards and requirements.
• Perform special audits, assessments, investigations, and observations to determine compliance with regulations and internal controls.
• Investigate and report deficiencies and/or violations and conduct follow-up to ensure implementation of appropriate corrective action.
• Conduct periodic verifications that include quarterly inventories, table games counts, money counter testing, Gaming Facility License checklists, inspection verifications.
• Review surveillance reports and work with supervisor to initiate further action, as warranted.
• Conduct necessary follow up investigations on reported or observed violations and deficiencies.
• Recommend control improvements and procedural enhancements to build strong systems of internal controls for the PTGC departments and casino operations.
• Investigate patron disputes, present facts, and recommend control improvements to deter further disputes, and correct discrepant and problematic information.
• Write and complete reports, as required to meet department standards, and as requested.
• Review assurance that all departments provide for the general physical safety, security, and well-being of employees, guests, and vendors at the property.
• Cook up and monitor shipping, receiving, installation, relocation, removal, storage, etc., of gaming devices, software, and equipment for security and compliance with applicable laws.
• Verify inbound/outbound shipments, maintaining appropriate inventories and issuing respective transportation permits, and inspecting deliveries for integrity and compliance.
• Conduct testing of gaming devices and programmed storage media for verification of validity and authorized usage, using and operating approved test equipment.
• Coordinate with the Slot Technician department to assist in machine installation, conversions, and RAM clears, as necessary, particularly to oversee sensitive logic and software access, as well as ensure accurate machine reporting.
• Communicate effectively with vendor compliance team to ensure machine and software notifications are accurate and understood to troubleshoot and remedy issues accordingly.
• Cook up and coordinate with all gaming and non-gaming departments on projects to ensure regulatory and operational compliance is achieved and maintained.
• Aids in the coordination and work with external, federal, and state auditors for compliance audit engagements.
• Follow up on Title 31 concerns, variances, audit findings, and regulatory concerns, as necessary.
• Ensure accurate records are maintained.
• Keep Regulatory Compliance Manager and Executive Director informed and updated on all situations and activities within the department.
• Maintain and ensure confidentiality of all information of the PTGC departments and Rolling Hills Casino and Resort.
• Must be willing to travel and attend seminars and training.
• Any other duties as assigned by the Regulatory Compliance Manager, Executive Director and Commissioners within the scope and authority of the PTGC.

Knowledge/Skills

• Articulate a commitment to diversity and the ability to work effectively with individuals from different backgrounds.
• High level of organizational skills and consistent assignment of naming conventions and sensible electronic filing habits.
• Ability to communicate effectively verbally and in writing for a variety of audiences and topics.
• Demonstrate time management skills and prioritization of tasks and meeting dedicated timelines.
• Coordinate and lead successful project work to completion.
• Perform basic math for slot par percentages, machine incrementations, bankroll calculations, inventory tracking, and revenue accounting.
• Ability to act independently with minimal supervision but maintain an effective level of communication with work teams and stakeholders.
• Ability to present self in a professional manner representing the Paskenta Tribal Gaming Commission and the tribe, thus setting an example of leadership with integrity.
• Working knowledge of standard office equipment, computers, and computer applications including Microsoft Office Suite applications such as Outlook, Word, and Excel.
• At minimum, general understanding of tribal gaming regulation, which includes awareness of the Indian Gaming Regulatory Act, tribal gaming ordinances, tribal-state compacts, minimum internal control standards, IRS rules and regulations (Bank Secrecy Act/Title 31 and Anti-Money Laundering), and/or operational policies and procedures.
• Preferred (not required) knowledge of or familiarity with 1) Casino Slot/Accounting computer applications (i.e., Oasis/ATI), 2) GLI/Verify Plus/GAT or other software testing tools, 3) Slot pars and machine performance, 4) Project management experience, 5) Business intelligence, artificial intelligence, and/or analytics, 6) Rolling Hills Casino operational policies and procedures, and/or 7) Investigations and/or auditing techniques.

Minimum Qualifications

• Minimum of 21 years of age.
• High School Diploma, GED Certification or equivalent.
• Associate Degree in Business, Accounting, Technology or related field and/or 2 years casino gaming experience in a regulatory compliance capacity OR Associate Degree in Business, Accounting, Technology or related field and 3 years successful experience in casino departments such as Revenue Audit, Accounting, Cage/Vault, Surveillance, Information Technology or Security.
• A combination of education and other relevant experience may substitute for the required education and experience.