Compliance Supervisor

Job Identification:

Position Summary:

The Compliance Supervisor is responsible for protecting the assets of the Quapaw Nation and ensuring all gaming activities are conducted in compliance with applicable tribal, federal, and state laws, regulations, and internal policies. This role provides leadership and oversight to Compliance Agents, monitors gaming operations, conducts inspections, and identifies and reports violations or deficiencies. The Compliance Supervisor works collaboratively with internal departments, including audit, security, and surveillance, to maintain regulatory integrity and operational compliance across all gaming facilities.

Essential Job Functions:

• Manages and oversees the daily operations of the QNGA Compliance Department.
• Supervises Compliance Agents and provides support and backup assistance as needed.
• Provides training, guidance, and ongoing development for Compliance Agents.
• Conducts orientation for new Compliance Department hires.
• Prepares and manages staff schedules to ensure continuous casino coverage.
• Evaluates employee performance and recommends or administers disciplinary action.
• Collaborates with casino departments on compliance-related matters, including electronic gaming machine (EGM) software processes such as:
  • Software transfers, conversions, installations, removals, and upgrades
  • Execution of GMARAs
• Reviews departmental policies and procedures for compliance.
• Approves activity reviews and access request forms.
• Coordinates with gaming vendors regarding:

• Shipping notifications
• Server and software testing
• Software destruction and return shipments
• On-site installations and upgrades

• Assists in developing compliance forms, procedures, and guidance documentation.
• Maintains accurate records by preparing, organizing, and updating spreadsheets, reports, and compliance documentation.
• Prepares monthly activity reports for the QNGA Administrator.
• Prepares billing statements, daily time reports, and shift reports.
• Maintains daily and weekly logs of compliance activities and observations.
• Develops and maintains departmental inspection checklists.
• Conducts surveillance and audits of gaming facilities and operations.
• Performs gaming floor audits, which includes software verification.
• Escorts regulatory officials during audits and inspections.
• Escorts and monitors shipments of gaming equipment and supplies.
• Verifies receipt of gaming equipment shipments in coordination with relevant departments.
• Investigates and follows up on compliance-related incidents involving vendors, equipment, employees, and patrons.
• Conducts inspections impartially and without bias.
• Verifies adequate surveillance coverage for new gaming installations and Wide Area Progressive games.
• Reviews and verifies large payouts, such as jackpots exceeding $1,200.
• Observes and verifies compliance in:
  • Key and lock control procedures
  • Gaming activities and rule adherence
  • Cage, count room, and surveillance operations
  • Drop and count procedures
  • Gaming equipment inspections and installations
• Supervises placement of gaming seals on approved machines.
• Reviews machine access logs and related documentation.
• Documents patron complaints, disputes, and incidents.
• Verifies employee licensing and badge compliance.
• Inspects used playing cards and ensures proper accountability.
• Assists with enforcement of voluntary and involuntary exclusion lists.
• Attends required meetings, training, and seminars.
• Maintains availability to work varied shifts, including second, third, or split shift once a month.   
• Reports all violations or deficiencies.
• Performs all other duties as assigned. 

Non-essential Job Functions:

• Attends meetings, seminars, workshops, and training sessions as required to support professional development and program objectives.
• Provides training to volunteers, partners, or new employees as needed.

Job Specifications:

Knowledge, Skills, and Abilities:

• Ability to maintain the highest level of professionalism in all interactions with co-workers, casino personnel, patrons, and external business contacts, including representatives of governmental agencies.
• Interact effectively with individuals from diverse social, economic, and cultural backgrounds.
• Ability to effectively read, analyze, and interpret rules, regulations, and policies and procedures.
• Effectively presents information and responds to questions from employees, managers, and patrons in a clear and professional manner.
• Strong written and verbal communication skills.
• Must be organized and possess excellent typing skills.
• Proficiency in Microsoft Office (Word, Excel, PowerPoint).
• Ability to operate, or be trained to operate, automatic and/or manual fingerprinting instruments and accurately retrieve background information.
• Maintains strict confidentiality at all times.
• Must successfully pass a tribal background investigation and drug screening.
• Must maintain a valid driver’s license in good standing and qualify under the Quapaw Nation Motor Vehicle Policy.

Experience:

• Two (2) years of experience in a related field is preferred.

Education:

• Associate degree in a related field is required.
• An equivalent combination of education, experience, and training may be considered.

Physical Abilities:

• Ability to sit or stand for extended periods and perform tasks that require reaching above shoulder level.
• Ability to push, pull, squat, kneel, bend, and safely lift and carry up to 25 pounds.
• Visual acuity sufficient to perform essential job functions, with or without reasonable accommodation.
• Ability to travel occasionally for meetings, training, seminars, or professional development opportunities.

Prohibited Conduct:

All QNGA employees are expected to follow the personnel policies and procedures of the Quapaw Nation. Employees are strictly prohibited from participating in any gaming activities or promotions at any Quapaw Nation gaming facilities. Additionally, QNGA employees are prohibited from handling any matter in which the subject of the matter is a member of his or her immediate family or an entity in which he or she has a pecuniary interest.

Working Conditions:

Work is primarily performed in an office environment with minimal adverse conditions. Due to the sensitive nature of the position, the employee must work effectively within a diverse cultural environment while maintaining professionalism at all times.

Disclaimers:

This job description encompasses and describes most but not all tasks and responsibilities of the job. The management reserves the right to change the nature of the job and the job description with or without prior warning, as well as to give special consideration to circumstances related to the essential job functions on a case-by-case basis. The incumbent may be required by the management to perform other duties as assigned.

This job description does not constitute a contract for employment and may be changed at the discretion of the employer. PLEASE NOTE: Hiring preference in the following order will be provided to qualified members of the Quapaw Nation followed by spouse and caregivers of Quapaw Nation members and then other federally recognized tribes. The Quapaw Nation requires a designated candidate to successfully complete a pre-employment drug screen, criminal background check and confirmation of professional references.

*The Quapaw Nation will not observe a medical marijuana card for any position deemed safety sensitive in accordance with the Oklahoma Medical Marijuana and Patient Protection Act (Unity Bill).