Director of Compliance
Develop and administer all Compliance programs, policies, and processes to support Gaming Commission operations to
ensure the integrity of the gaming operation and/or Tribal assets.
ESSENTIAL JOB FUNCTIONS
The information provided below encompasses the functions and capabilities linked with this position.
Duties and Responsibilities
The individual in this position is expected to engage in the following work-related activities.
Directly manage all Compliance department staff, including recruiting, hiring, training, assigning and directing
work, evaluating performance, disciplining as necessary, addressing employee concerns, and guiding professional
Liaison with Commissioners directly regarding department goals and objectives, critical risks and violations.
Develop and execute plans and strategies to meet department goals and objectives.
Identify need for, develop, modify, maintain, and distribute departmental Standard Operating Procedures (SOP)
and other guidance documents to comply with Minimum Internal Control Standards (MICS), incorporate
regulatory best practices, adapt to regulatory changes, and provide proper guidance to those carrying out
Recommend new and revisions to casino-wide Standard Operating Procedures (SOP) and other guidance
documents to comply with Minimum Internal Control Standards (MICS), incorporate regulatory best practices,
and adapt to regulatory changes.
Develop, implement, and administer annual department budget in a manner that ensures the purchase of quality
products and services at competitive pricing.
Disseminate, implement, and enforce department standards, policies, and procedures.
Oversee the monitoring and compliance of gaming activities, including determining and executing appropriate
corrective and disciplinary actions in response to violations.
Oversee record retention and reporting functions to ensure compliance with applicable standards and
Conduct and supervise investigations regarding non-compliance, gaming disputes and gaming related criminal
misconduct, and violations of policy and procedure.
Identify and assess potential risks and threats to the gaming operation from internal and external elements.
Monitor compliance systems to determine their effectiveness and identify opportunities of improvement.
Other duties as assigned.
The individual in this position is expected to possess and exhibit the following knowledge, skills, and abilities.
Ability to interact and collaborate with line employees, managers, executives, and outside law enforcement
Demonstrate a commitment to and value for conducting oneself in accordance with highest standards of integrity
and ethical behavior in compliance with all applicable laws, rules, and regulations.
Maintain working knowledge of casino database programs, software verification programs, collateral verification
firmware/equipment, and class II and III gaming devices.
Maintain advanced knowledge of gaming violations and applicable regulations, as well as internal policies and
Exhibit advanced investigative skills and abilities, including interviewing witnesses, pulling relevant data from
gaming systems/equipment, preserving evidence, identifying discrepancies and inconsistencies, and recognizing
Demonstrate a high degree of accuracy and attention to detail in all tasks.
Ability to define problems, collect data, establish facts, and draw valid conclusions in the context of a variety of
situations with multiple variables, both predictable and unpredictable.
Ability to make sound and timely informed decisions in complex and potentially volatile situations.
Ability to effectively communicate information and ideas, particularly to Commissioners and regulatory agencies,
as well as compose clear, effective, and grammatically correct reports, procedures and business correspondence
appropriate for the intended audience.
Ability to read, analyze, interpret and apply technical procedures, government regulations, financial reports, and
Ability to carry out intermediate mathematical computations, including statistics, proportions, percentages, and
practical application of algebraic math for business.
Ability to organize and prioritize own work and work of others in a setting with frequent and rapid priority and
assignment changes and additions coming from multiple sources.
Ability to work in a professional manner in an environment with individuals from many different cultures and
Working knowledge of MS Office, including document creation and editing in Word, messaging and calendaring in
Outlook, and performing routine tracking and complex computations in Excel.
The following capabilities are required to perform the essential functions of this position.
Effectively communicate with others verbally and in writing, including by phone, e-mail, or in person.
Understand, remember, communicate and apply routine and complex regulations, oral and/or written
instructions and factual information.
Maintain sustained concentration on computer screens, and use keyboards and a variety of peripherals.
Maintain sustained concentration and focus in a moderately noisy environment.
Sit, stand, and walk for extended periods of time, as well as climb stairs periodically, and stoop, kneel and bend
Possess full range of motion and utilize fine motor skills, including reaching above or below the shoulder, and
having finger dexterity and the ability to twist hands or wrists repetitively.
Exert up to 30 pounds of force occasionally and/or up to 15 pounds of force frequently, to lift, carry, push, pull, or
otherwise move objects.
Recognize, interpret, and respond to variety of competing and isolated sounds with a variety of sources, pitch,
quality and loudness.
Sufficient vision to complete tasks requiring depth perception and color vision both close and far away.
Tolerate working in a confined space for prolonged periods of time with sustained exposure to moderate noise
and tobacco smoke.
Tolerate occasional exposure to extreme heat or cold.
The following are required of an employee in this position.
Five years’ experience and/or training in a similar position, or equivalent combination of education and
At least two years’ experience managing people.
High school diploma or general education degree (GED).
Current PGC Class “A” Gaming License.
Gaming Laboratories Institute Training Certificate of Completion or equivalent certification.
Ability to periodically travel locally, regionally, and nationally to trainings, court proceedings, and other functions.
Ability to work days, evenings, and nights.
Must be age 21 or older.
Requires passing background check, credit check, and drug screening upon hire.