Compliance Specialist Job Listing at Oneida Nation in United States of America (Job ID 492)

Description

Vision: Wisconsin's first choice for casino entertainment.
Mission: Gaming professionals working together to provide a friendly, safe, and fun gaming experience.
Values: Professionalism, Accountability, Respect, Integrity, Sincerity.

The duties and responsibilities are not an all inclusive list but rather a general representation of the duties and responsibilities associated with this position.



SALARY: Grade12 $21.55 hr. (NEGOTIABLE)        
After successful completion of the probationary period, employee will receive off probation wage increase. 

POSITION SUMMARY:

Assist management in achieving and maintaining compliance through assessment of audit reports, internal controls, corrective action follow ups, and regulatory reviews.  This position is instrumental in continuous improvement of compliance ratings and providing support to gaming management to achieve their goals of improving operating efficiency and effectiveness while maintaining compliance with all applicable regulations

DUTIES AND RESPONSIBILITIES: 

• Assist in developing, maintaining, and facilitating effective communication processes for all personnel of gaming operations. Ensure gaming management reports are generated in a timely and effective manner for all operational compliance matters. 
• Assist in ensuring compliance to all regulatory requirements in all areas is being met.  Work closely with management in establishment of needed results for regulatory compliance.  Assist in ensuring gaming personnel adhere to all regulatory, audit, and legal regulations, laws and practices. Represent Gaming Management at meetings to address regulatory compliance of Oneida Gaming as needed.
• Assist with Audit Compliance by performing assessments of the Gaming Division thru compliance testing and observation to evaluate departmental compliance status and identify areas that need additional follow up.
• Assist Gaming Management in producing responses for all audits conducted on Gaming, ensuring that corrective action plans correspond to noncompliant findings.
• Assist in the generation and maintenance of compliance calendars to monitor corrective action completion and management involvement in verifying compliance. Assist in the preparation and formatting of compliance checklists to follow up and verify corrective action and compliance status.
• Follow up on all audits conducted for Gaming by internal and external auditing entities.
• Assist in the preparation of the Gaming Division's year end audit activities.
• Collect and maintain accurate records and information regarding audit compliance, ensuring confidentiality is maintained at all times.
• Assist Gaming Management in interpreting regulatory and minimum internal control standards based on research and review of professional/governmental publications, continuing education, and professional networking.
• Assists in formatting and developing internal controls for the Gaming Division to safeguard tribal assets and meet regulatory requirements.
• Review internal controls referencing all applicable Local, State, and Federal regulations.
• Work with the Gaming Departments to maintain adequate and current internal controls for the System of Internal Controls Manual.
• Conduct assessments, observations, and research to identify internal control deficiencies.
• Design and produce reports to facilitate analysis and measurements of internal controls.
• Provide and analyze suggestions for operational and internal control improvements.
• Lead and participate in special assignments and projects relevant to internal controls and regulatory issues.
• Assist in formatting and developing Standard Operating Procedures (SOPs) for the various Gaming Departments.
• Review SOPs referencing all applicable internal controls and required regulations.
• Work with each Gaming Department to maintain updated SOPs for the department's Standard Operating Procedures Manual.
• Assist Gaming Management in the implementation of regulatory SOPs and internal controls through continuous improvement projects, i.e., training, interpretations, project planning, etc.
• Perform regulatory reviews to ensure work standards, internal controls, and SOPs meet all regulatory requirements, i.e., Oneida/State Gaming Compact, Minimum Internal Control Standards (MICS), Ordinances, Tribal Laws, etc.
• Participate in the facilitation and resolution of regulatory issues with appropriate Gaming Departments.
• Route and monitor status of work standards, internal controls, and SOPs, from draft documents through to final approved documents.
• Coordinate the dissemination of work standards, internal controls, and SOPs to all appropriate Gaming and Tribal Departments.
• Assist in the interactive communication with the Audit Committee and other regulatory bodies by preparing compliance and observation reports for Gaming Management.
• Attend department meetings to provide input and recommendations for improving business processes/methods.
• Provide verbal and written notification of internal control deficiencies and/or noncompliant control matters that warrant attention to Gaming Management in a timely manner.
• Report all identified violations to Local, State, and Federal regulations and laws to Gaming Management in a timely manner.

 

STANDARD QUALIFICATIONS:

• Knowledge and understanding of gaming industry regulations, proposed rules, procedures, and controls.
• Knowledge of federal, state, and Indian gaming regulations.
• Knowledge of audit procedures
• Ability to take charge of a situation and to be authoritative on matters of regulatory compliance.
• Ability to handle multiple projects at one time, prioritizing and using time effectively while meeting deadlines.
• Ability to analyze situations and adopt appropriate courses of action.
• Ability to handle multiple tasks and meet deadlines.
• Ability to make solid decisions and exercise independent judgment.
• Ability to follow verbal and written instruction.
• Ability to work independently with minimal supervision.
• Ability to define problems, collect data, establishes facts and draw valid conclusions.
• Ability to read, analyze, and interpret complicated documents, such as journals, financial reports, and legal documents. 
• Ability to write clear and concise in appropriate business formats and email, memos, and reports.
• Investigative and problem-solving skills.
• Must adhere to strict confidentiality in all matters. (Must sign a confidentiality statement prior to employment.)
• Must be willing and able to obtain additional education and training.
• Must pass a pre-employment drug screening.  Must adhere to the Nation's Drug and Alcohol-Free Workplace Policy during the course of employment.
• Must pass a background security check with the Oneida Nation in order to meet the Employment Eligibility Requirements, Tribal/State Compact and/or Oneida Nation Gaming Ordinance as they pertain to the position. A temporary license or Gaming License issued by the Oneida Gaming Commission is required as a condition of employment and continuing employment within the Oneida Nation's Gaming Division.
• A valid driver's license or occupational driver's license, reliable transportation, and insurance are required.  Must obtain a Wisconsin driver's license or occupational driver's license within thirty (30) days of employment if applicant has an out-of-state driver's license.  Must be authorized as eligible to operate a personal vehicle under the Oneida Nation's Vehicle Driver Certification and Fleet Management Law prior to actual start date.  Must maintain driver's eligibility as a condition of employment.

 

MINIMUM QUALIFICATIONS:

• Must be eighteen (18) years of age. 
• Bachelor's Degree in Auditing, Accounting, Communications or a related field; three (3) years related gaming regulatory auditing, accounting, regulatory reviews, analysis of policy and/or procedures experience; one (1) year working with regulations at the Federal, State or Tribal level; an equivalent combination of education and experience may be considered.

 

PHYSICAL REQUIRMENTS/WORK ENVIRONMENT:

• Frequently sit, stand, walk, use hands, handle, feel, reach with hands and arms, talk and hear. 
• Occasionally stoop, kneel, and lift and/or move up to twenty-five (25) pounds.
• Work is generally performed in an office setting with moderate noise level.
• Must be able to work evening, holiday and/or weekends, extended hours and irregular shifts.
• Work environment may NOT be smoke, noise, or dust free.
• A Tuberculosis (TB) Screening and/or TB Skin Test is required within thirty (30) days of employment

ITEMS TO BE SUBMITTED:

• Must provide a copy of Diploma, License, Degree or Certification upon employment.

  The Oneida Nation does not discriminate on the basis of race, color, national origin, sex, religion, age or disability status in employment or the provision of services.  However, individuals of Indian ancestry and Veterans will be given preference by law in initial employment or re-employment.

Department: Compliance
This is a non-management position
This is a full time position
Closing Date: Until Filled
Transfer Date: December 23, 2024

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