Compliance Officer II

Open Date: 04/27/2022

Closing Date: Until Filled

Requisition Number: 013-2022

Department: Gaming

Classification: Full-Time / Non-Exempt

Salary: Commensurate with Experience

Location: Valley Center, CA

OPPORTUNITY:

This position is responsible to monitor casino activities; observe customers, employees, transactions, and reporting requirements to ensure compliance with Federal, State and Tribal gaming laws and regulations as well as compliance with required internal controls. Investigate and report deficiencies or violations and conduct follow-up to ensure implementation of appropriate corrective action. This position provides minimal supervisory oversight of staff on their assigned shift. This position requires training by the Compliance Shift Supervisors.

JOB 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.

  1. Maintain control over access to sensitive areas of gaming devices.
  2. Monitor shipping, receiving, installation, relocation, removal, storage, etc. of gaming devices for security and compliance with applicable laws and regulations. Ensure accurate records are maintained on same.
  3. Inspect all gaming equipment and supplies for integrity and compliance. Utilize software verification equipment for the purpose of testing gaming device computer control chips for verification of validity and authorized programming.
  4. Monitor count room activities, table games and drops for compliance.
  5. Assist with ensuring that the casino fulfills all its reporting requirements including but not limited to: Title 31, IRS, NIGC, State and Commission reports and assessments.
  6. Monitor log sheets for keys, liquor sweeps, and machine movements.
  7. Randomly audit any gaming related transaction documents for compliance with regulations and internal controls.
  8. Write reports and conduct necessary follow-up investigations on reported or observed violations or deficiencies. Conduct follow-up monitoring for implementation of appropriate corrective action.
  9. Maintain Commission records, files, statistics, etc. on compliance monitoring activities.
  10. Make regulatory recommendations to the Assistant Executive Director in the absence
  11. of the Compliance Shift Supervisor.
  12. Act as shift supervisor in the absence of the Compliance Supervisor.
  13. Attend required meetings and trainings.

OTHER DUTIES

  • Works closely with the Assistant Executive Director, Compliance Officers, Auditors, Surveillance personnel, and Background Investigators as well as appropriate casino personnel in fulfilling responsibilities.
  • Occasionally work with outside regulatory or Law Enforcement Officials as necessary.
  • May occasionally be required to act in the absence of the Compliance Supervisor.
  • Demonstrates an awareness and appreciation of the cultural diversity of the community.
  • Maintain a clean and safe working environment.
  • Adhere to safety standards and regulations of the Tribal Council.
  • Handle all confidential and proprietary information in accordance with policies and procedures.
  • Perform other related duties as required.

JOB QUALIFICATIONS:

EDUCATION/EXPERIENCE AND/OR TRAINING

  • Two (2) years college or two years regulatory, auditing, or investigative related experience or equivalent combination of education and experience.

LICENSES OR CERTIFICATIONS

The following license and certification are required to be maintained throughout employment and are not subject to waiver:

  • Valid California Driver’s License. Must maintain a satisfactory driving record with the DMV.

WORK-RELATED KNOWLEDGE

  • Working knowledge of gaming equipment and technical specifications, applicable laws, internal controls and policies and procedures of the Gaming Industry.
  • Fundamental leadership and supervisory skills
  • Knowledge of customer services best practices
  • Organizational skills