Compliance Director

Job Summary

The Regulatory Compliance Director is responsible for managing and coordinating the daily activities of the Compliance Division; responsible for ensuring goals and objectives of the Division are being met through effective function of the Division; will monitor, direct, and review investigations; will ensure gaming machine compliance with applicable technical and internal control standards.  The Director will provide leadership to the Division and will work closely with the Executive Director to accomplish the goals of the Commission; will oversee personnel issues, such as work performance, training and disciplinary issues and be responsible for the issuance of enforcement action.  

 Skills and Abilities 

• Principles and practices of investigation, audit and research, including interviewing techniques of current investigative issues and theories of managerial techniques and administrative practices; 
• Comprehensive knowledge of procedures to include evidence collection and preservation and documentation of case information;
• Analyze and evaluate policies and operations, formulating recommendations, conflict management, and methods and techniques of negotiation; 
• Principles of and procedures of record keeping and reporting; statistical analysis and data collection; 
• Basic computer and modern office automation technology and computer software programs relevant to Division operations; 
• Strong working knowledge of regulations, internal controls and casino operating procedures; relevant Federal, State and Tribal, codes and ordinances;
• Demonstrate sensitivity of diverse cultures and individuals;
• Excellent time management and organizational skills;
• Read, comprehend, and interpret complex written material;
• Goal and detail oriented;
• Exercise good judgement in safeguarding confidential and sensitive information;
• Exercise diplomacy when dealing with people in sensitive situations;
• Excellent communication skills, both written and verbal;
• Maintain professional and courteous demeanor at all times; and
• Adapt to frequent change and reorganization.

Essential Duties and Responsibilities

The Director will oversee the Regulator Compliance Team to ensure effective regulatory oversight, compliance and enforcement of the licensed gaming facility; including adherence to all required Tribal Ordinances. (The following is used as a partial description and is not restrictive as to duties required.)

 Manage the day to day operations of the Regulatory Compliance Division; 

• Hire, evaluate and terminate Compliance staff;
• Ability to attend offsite trainings, seminars, and conferences; 
• Ensure Division is equipped with proper technology/programs to provide oversight and monitoring in all required areas;
• Develop, implement, administer, and evaluate an investigative program, interpret laws, policies, and procedures pertaining to audits and investigations; 
• Keep informed of industry changes, trends, and best practices to assess the potential impact of these changes;
• Review, analyze, and/or interpret Tribal, Federal or State laws, rules, regulations, policies, and procedures related to tribal gaming, to communicate effectively; 
• Review and/or prepare and present expert testimony and evidence to Gaming Commissioners, administrative review boards, grand juries, and court officials, to prepare clear and concise reports and review the reports of other staff; 
• Demonstrate sensitivity of diverse cultures and individuals; work within stringent deadlines; organize, prioritize and perform multiple tasks to complete work; 
• Work independently; read, comprehend and interpret complex written material; 
• Perform detailed work with accuracy; exercise good judgement in safeguarding confidential and sensitive information; 
• Exercise diplomacy when dealing with people in sensitive situations; 
• Operate computers and related software; 
• Ensure compliance with established tribal ordinances, including but not limited to: TORT and Gaming Facility.
• Develop short and long-range plans that meet established objectives and contribute to the overall goals and mission of the STGC; 
• Maintain a good attitude with strong public/employee relation;
• Manage Division budget;
• Make recommendations to the Executive Director for any possible changes to the Internal Controls, ensuring effectiveness and compliance;
• Meets regularly with the Executive Director and/or Gaming Commission; and
• Responsible for evaluating and ensure proper training on related topic is deployed. 

 Supervisory Requirements

All Compliance Division personnel. 

Minimum Requirements

• Ability to work anytime including evenings, weekends, and holidays;
• Must be at least 21 years of age;
• Successfully complete/ pass pre-employment drug screening and Background Clearance;
• Meet and maintain licensing standards/guidelines to qualify for a key gaming license; and
• Possession of a current California Drivers’ License or California Identification.

Education/ Experience

Bachelor’s Degree from an accredited college; management experience and five (5) years of regulatory, auditing, or investigating experience and/or training preferred.  

In lieu of a Bachelor’s Degree:  A.S. or A.A from an accredited college, three (3) years of management experience and four (4) years of law enforcement, regulatory, auditing or investigating experience or training or an equivalent combination of education and experience. 

In lieu of an A.S. or A.A Degree: High School diploma or G.E.D. from an accredited institution, four (4) years of management experience and six (6) years of law enforcement, regulatory, auditing or investigating experience or training or an equivalent combination of education and experience.

Physical Demands 

The physical demands described represent those that must be met by an employee to successfully perform the essential functions of the position. While performing the duties of this job, the employee is required to speak and listen. The employee frequently is required to stand and walk. The employee is occasionally required to sit; use hands and fingers to feel objects, tools or controls, which will require the ability to reach out with upper appendages. The employee must occasionally lift and/or move up to 10 pounds. Specific vision abilities required by this job include ability to adjust focus.

Working Conditions

Commission employees are expected to work some days and hours outside the normal workweek. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly exposed to second hand smoke. The employee will occasionally work near electronic gaming equipment. The noise level in the work environment is usually moderate.

An Equal Opportunity Employer

Native American preferable and an Equal Opportunity Employer 25 U.S.C.S. 472 et. Seg.

Note

This description incorporates the most typical duties performed. It is recognized that other duties not specifically mentioned may also be performed. The inclusion of these duties would not alter the overall evaluation of this position.