Compliance Officer

SANTA ROSA RANCHERIA TACHI-YOKUT

Job Description

Job Title: Officer

Department: Compliance

Reports To: Supervisor

FLSA: Non-Exempt

Rate of Pay: $18.50 per hour

Summary

Under the direction of the Compliance Supervisor, the Officer will perform a variety of tasks to assure compliance with provision of Tribal Ordinance. The Officer will have access to any and all areas of gaming to ensure compliance. The Officer will report of violations, written reports, receiving complaints and seeks voluntary resolutions of complaints. The Officer will monitor casino activities, transactions and reporting requirements to ensure compliance with Federal, State and Tribal gaming laws and regulations as well as compliance with required internal controls. Investigates and reports deficiencies and/or violations and conducts follow up to ensure implementation of appropriate corrective actions. Certifies that gaming equipment complies with regulatory technical specifications.

Essential Duties and Responsibilities

The following duties are typical for this classification. Incumbents may not perform all of the listed duties and/or may be required to perform additional or different duties from those set forth below to address business needs and changing business practices.

- Ensures confidentiality of all information in the Gaming Commission office, includes, not limited to applications, employees, information from federal, tribal or state law enforcement and state gaming office;

- Inform and update Compliance Supervisor on all situations and activities within the Compliance Department;

- Familiar with the Tribal Ordinance and Casino Internal Controls;

- Ensure all departments provide for the physical safety and wellbeing of employees of the Tachi Palace Hotel and Casino and Gaming Commission;

- Determine when appropriate to complete an “incident report” which is a record of serious violation to either the Ordinance or Casino Internal Controls;

- Maintains control over access to sensitive/restricted areas of the gaming facility and electronic access systems;

- Conducts testing of gaming devices computer control programmed storage media for verification of validity and authorized programming;

- Monitors shipping, receiving, installation, relocation, removal, storage, etc. for gaming devices for security and compliance with applicable laws and regulations. Ensuring accurate records are maintained;

- Inspects all gaming equipment and supplies for integrity and compliance Technical standards;

- Randomly audits gaming related transaction document for compliance with regulations and internal controls;

- Monitors table games, drops, and count room activities for compliance;

- Monitors bingo games, equipment and supplies for integrity and compliance;

- Monitors other non-gaming departments, personnel activities and transactions for compliance;

- Writes reports and conducts follow up investigations on reported or observed violations or deficiencies;

- Works closely with Surveillance, Personnel and Investigator and appropriate casino personnel in fulfilling responsibilities;

- Occasionally work with outside regulatory or law enforcement officials as approved necessary;

- Inspects and monitor facility compliance with all environmental, health and safety regulatory requirements;

- Through knowledge of and capable of operating testing equipment for all components of electronic devices;

- Presents testimony on patron disputes to the Independent Gaming Review Board;

- Investigate actual or suspected health and safety hazards and work with Casino Risk Management;

- Observes table games card washing, checks cards, cuts, cards, conducts inventory of cards and dice, issues and reissues replacement decks of cards;

- Able to extract, interpret and analyze date from slot on line data system and other casino computerized data systems;

- Drive company or personal vehicles to conduct business on behalf of the Compliance Department.

Supervisory Responsibilities

This position has no supervisory responsibilities.

Qualifications

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Education and/or Experience

- High School Diploma or General Education Degree (GED) plus 6-8 months of experience in Regulatory Compliance, Accounting, Auditing, Surveillance or Casino Operations backgrounds

Certificates, Licenses, Registrations

- Must be able to obtain a California Gaming License and maintain throughout employment

Computer Skills

To perform this job successfully, an individual must have knowledge of Microsoft Office, Internet software, Project Management software, Spreadsheet software and Word Processing software.

Other Qualifications

- Must be 21 years of age or older

- Must have or willing to learn the knowledge of Native Customs, Traditions, Culture and be Culturally Sensitive and Tribes Cultural Practices and keep the Confidentiality

- Must be able to work flexible and excessive hours

- Must be willing to travel

- Able to work with all ages and ethnic groups

- Be punctual, dependable and project a professional image through dress, behaviors and positive attitude

- Strong knowledge of gaming industry, internal controls and auditing practices.

Physical Demands and Work Environment

The conditions herein are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions.

Physical Demands

The conditions herein are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential job functions. Primary function require sufficient physical ability and mobility to work in an office setting and; to walk, stand or sit for prolonged periods of time; to occasionally stoop, bend, kneel, crouch, reach and twist; to lift, carry, push and/or pull light to moderate amounts of weight, to operate office equipment requiring repetitive hand movement and coordination including use of a computer keyboard; to operate a vehicle to travel to various locations and to verbally communicate to exchange information. Vision and hearing must be in the normal visual and audio range with or without correction. The employee must occasionally lift and/or move up to 50 lbs.

Work Environment

Work is performed primarily in a standard office setting with some travel to various locations to attend meetings or inspect, supervise, and/or; occasionally exposed to outside weather conditions and wet and/or humid conditions; occasionally; incumbent may be required to work extended hours including evenings, weekends and may be required to travel outside tribal boundaries to attend meetings and/or workshops; subject to emergency call out at any time.