Director of Operational Compliance

   Posted 10 days ago


Under the direction of the Senior Vice President of Casino Finance, the Director of Operational Compliance is responsible for developing and implementing a strategy for the review of gaming and non-gaming departments based upon regulatory requirements, risk assessments, and other enterprise priorities. The Director of Operational Compliance oversees the performance of quality assurance reviews of operations to ensure compliance with San Manuel Casino (SMC) internal control standards. Additionally, the Director of Operational Compliance oversees proper maintenance of the system of internal control standards, provides support during the implementation of new information technology systems, assists in the development of controls for new services, makes recommendations for process improvement, and acts as a liaison between Casino operations and the San Manuel Tribal Gaming Commission (SMTGC) or other external agencies. The Director of Operational Compliance provides support and guidance to a team of Operational Compliance personnel through training, and the development of procedures and guidelines that support the team?s objectives. Further, the Director of Operational Compliance prepares and reviews detailed reports of findings and recommendations in a professional manner consistent with industry practices. The Director of Operational Compliance makes presentations to the Senior VP of Casino Finance and executives for the purpose of reporting findings and recommendations. This role is critical to managing risk and is expected to provide the Senior VP of Casino Finance and other executives their assessment of the risks associated with Casino programs, products, and services. The Director of Operational Compliance interprets regulations and develops audit plans respectively, for BSA/AML Title 31, IRS Information Reporting, National Indian Gaming Commission Minimal Internal Control Standards, and San Manuel Tribal Gaming Commission Regulations, Tribal/State of California Gaming Compact, and other tribal gaming ordinances.

Essential Duties & Responsibilities

  • Provides managerial oversight of Operational Compliance Team, including work performed by team members and related administrative tasks. Ensures work performed by team meets regulatory requirements, industry standards, practices or expectations set by the Senior VP, Casino Finance relative to evaluating program quality and effectiveness, and identifies areas for improvement, and forecasts future program needs.
  • Provides guidance and direction to team members performing Operational Compliance reviews.  Mentors and guides management team members.  Determines work assignments taking into account the complexity of assignment and skill level necessary to perform work.
  • Makes presentations to department management, executive management and/or Tribal Business Committee. Manages and provides feedback to associates and management via meetings, collaboration and reports.
  • Performs and/or directs internal operational process audit and/or assessment activities for enterprise departments supported by the Operational Compliance Team.  Performs review and evaluation work of programs in complex or sensitive cases, as needed. Reviews draft reports prepared by team members and approves all final reports.
  • Leads quality process development and improvement initiatives with the respective departments.  Plans, measures and analyzes data, monitors trends and evaluates process and service quality and service quality gaps. Develops annual Quality Assurance Review Plan after taking into consideration feedback from Senior VP of Casino Finance and other executive management.  In collaboration with Senior VP of Casino Finance, coordinates all internal and external audit reviews including documentation, written responses and negotiations
  • Performs other duties as assigned to support efficient operations.

Supervisory Responsibilities

Carries out supervisory responsibilities in accordance with the enterprise's policies and applicable laws.   Responsibilities include interviewing, hiring and training employees; planning, assigning reviewing and directing work; evaluating and appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems.


  • Bachelors degree (B.S. or B.A.) in Finance, Business, or business related field required. Masters degree is highly preferred.
  • Minimum of (10) years experience working in the gaming industry.
  • Minimum three (3) years of Supervisory experience leading a team in the performance of audits, reviews, and/or assessments under Generally Accepted Auditing Standards (GAAS).
  • Experience in the areas of quality assurance, internal controls, program effectiveness, program improvement and/or regulatory matters relating to the Bank Secrecy Act, Anti-Money Laundering, and/or OFAC matters.
  • Must have excellent interpersonal, analytical, research and managerial experience in leading teams on audits or projects. 
  • Must demonstrate the ability to communicate verbally and in writing throughout all levels of the organization.
  • Proficient computer skills including Microsoft Office Suite, Outlook, SharePoint, and relevant audit software required.
  • Demonstrated ability to use critical thinking and work under pressure.
  • Experience performing consulting/auditing work in the casino industry, and/or working for a casino regulator preferred.
  • Project management experience preferred.
  • Equivalent combination of education and progressive, relevant and direct experience may be considered in lieu of minimum educational/experience requirements indicated above.


  • At the discretion of the San Manuel Tribal Gaming Commission you may be required to obtain and maintain a gaming license.
  • A qualified candidate/employee must have and maintain a valid drivers license with an acceptable driving record as determined by the enterprises insurance carrier.

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Job details

San Manuel Casino
Cathy Bassaner
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