Regulatory Compliance and Internal Audit Director

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Overview

Under general supervision of the CEO, provides leadership direction and management for the Compliance department and all regulatory requirements for Osage Gaming Operations. Serve as focal point to all organizational entities with regard to regulatory activities, information dissemination, problem determination and resolution and report generation. Develops, implements, maintains and monitors casino internal controls policies and procedures across multiple facilities to ensure compliance with all applicable tribal, federal, gaming regulations and state compacts. Develops and administers internal audit preview process and schedules in preparation for external audits. Develops and maintains effective working relationships with all stakeholders of the Regulatory Compliance and Internal Audit Department. MINIMUM QUALIFICATIONS:

• Must be 21 years of age.
• Bachelor's Degree in Accounting, Finance or related field.
• Five years casino gaming or regulatory compliance monitoring environment.
• Three years in a management.
• Experience drafting, receiving approval of, and implementing casino internal controls, policies, procedures, and compliance or audit programs.
• Experience drafting flow charts/business process mapping, reports, and memorandums.
• Experience developing and performing casino compliance training and professional compliance presentations.
• Required to pass a pre-employment drug screening and obtain and maintain an Osage Nation gaming license.
• Required to maintain a valid Driver's License.
• Required to provide documents to show the applicant is eligible to work in the United States.
• Osage, Native American, and Veteran preference shall apply to all positions at Osage Casinos.
• Applicants must be able to perform all essential functions of job duties with or without reasonable accommodation.

Responsibilities

JOB DUTIES:

• Develops, initiates, maintains, monitors, and revises internal control policies and procedures to ensure company-wide compliance with all applicable tribal, federal, and state gaming regulations.
• Ensures the development and implementation of internal controls deemed necessary to ensure the highest level of asset protection and compliance with regulations while maintaining best practices.
• Develops, writes, maintains, and assist in the implementation of Compliance Programs (e.g. Title 31) deemed necessary to ensure compliance with regulatory requirements.
• Monitors gaming industry regulatory and audit changes, activities and developments.
• Acts as an independent review and evaluation body to ensure that compliance issues and concerns within the organization are being appropriately evaluated, investigated and resolved.
• Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.
• Investigates issues of non-compliance; ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
• Provides guidance for senior management team on matters relating to compliance; maintains a working knowledge of relevant gaming issues and/or regulations, and Tribal Minimum Internal Control Standards.
• Keeps necessary senior management team informed of status of compliance activities by attending meetings and submitting reports.
• Performs risk assessments and develops and executes compliance audit programs; summarizes findings in a clear and concise written report.
• Develops, coordinates and implements compliance training materials and programs.
• Maintains accurate, detailed records of internal control activity.
• Develops, maintains and monitors the department fiscal budget involving input on initial budget process, expenditures, purchases and review monthly statements and quarterly assessments.
• Contributes to the department's effectiveness by identifying short-term and long-range issues and goals that must be addressed; providing information and commentary pertinent to deliberations; recommending options and courses of actions; implementing directives.
• Conducts annual compliance program evaluation and assessments of program components and staff according to established policies, procedures and regulations.
• Maintains strict confidentiality of all privileged information.
• Maintains professional and technical knowledge by conducting research, attending seminars, educational workshops, classes and conferences; reviewing professional publications; establishing networks; participating in professional societies; conferring with representatives of contracting agencies and related organizations.
• Leads the team efforts and accomplishes related results as required.
• Performs all duties in accordance with company core values, objectives of the Osage Nation, internal policies and procedures, as well, as applicable laws and gaming regulations, including but not limited to, the state-tribal compact, IGRA, MICS, ONGR, the Bank Secrecy Act, Office of Foreign Asset Control, USA Patriot Act and Privacy Act.
• Performs other duties as required.

SUPERVISION RESPONSIBILITIES :

• Hosts regular staff meetings to ensure communication among personnel regarding departmental activities.
• Supervises all Managers and indirectly supervises the activities of all Recruiting, interviewing, hiring, training, scheduling, supervising, evaluating, coaching, and terminating employees.
• Oversees the supervision of staff, including work allocation, scheduling, training, and problem resolution.
• Increases staff effectiveness by recruiting, hiring, selecting, orienting, training, coaching, counseling, evaluation and disciplining, and terminating personnel appropriately.
• Communicates values, strategies, and objectives while building an environment of cooperation.
• Obtains, develops and maintains necessary personnel, training, and equipment to achieve financial, operational, and compliance expectations.

GUEST SERVICE:

• Provides excellent internal and external guest services, treating all guests with courtesy and consideration at all times.
• Cooperates and communicates with all employees, always exhibiting mutual respect and consistently projecting a positive, helpful image and attitude.
• Monitors production and service levels by interacting with guest and staff

COMMUNICATION:

• Ensures company information provided by management is effectively communicated to assigned staff and ensures staff concerns, request for information, and ideas for improvement are effectively relayed to management.
• Facilitates the flow of information throughout the area of responsibility by presiding over scheduled meetings with staff and team members as required.
• Stays informed of company information and communications by reviewing all e-mails, digital boards and SharePoint.
• Maintains excellent working relationships with other Company staff and all applicable regulatory commissions and other agencies as may be applicable to ensure compliance.

Qualifications

PHYSICAL DEMANDS:

• Required to sit, stand or walk for up to 8 hours per day.
• Ability to sit, stoop, kneel or crouch while performing duties.
• Ability to use hands to finger, handle, or feel.
• Ability to use arms to reach and lift above shoulders.
• Must have normal auditory and good verbal communication.
• Ability to lift, push, or pull upward of 25 pounds.

WORK ENVIRONMENT:

• Work is typically performed within a Casino setting.
• Exposure to second-hand smoke and a high noise level.
• Evening and weekend shifts may be required. Extended hours and irregular shifts may be required.