Operational Compliance Supervisor
Posted 16 days ago
The Operational Compliance Supervisor (OCS) is responsible for assisting the Operational Compliance Manager in leading a team of Operational Compliance Specialists and Compliance Document Coordinators in the performance of comprehensive quality assurance reviews and the implementation of the Privacy, Information Management, and Security (PIMS) program, all in support of San Manuel Casino’s (SMC) mission. The Operational Compliance Supervisor assists and may often lead periodic, ongoing, quality assurance reviews of internal department programs and SMC operations in both gaming and non-gaming areas to identify compliance deficiencies, effectiveness of fraud risk controls, and/or process inefficiencies. The OC Supervisor is also responsible for team member engagement, training, and development in support of Operational Compliance personnel. The OC Supervisor is responsible for assisting with the preparation of presentations for the Senior VP, Casino Finance and/or executives as necessary. The OC Supervisor plays a critical role in managing risk and provides the Senior VP of Casino Finance and other executives their assessment of the risks associated with Casino programs, products, and services.
Essential Duties & Responsibilities
- Provides supervisor oversight of OC section including work performed by team members and related administrative tasks. Determines work assignments taking into account the complexity of assignments and skill level necessary to perform work. Provides guidance and direction to team members performing Operational Compliance reviews. Ensures work performed by Operations Compliance Team meets regulatory requirements, industry standards, practices or expectations as set by the Senior VP, Casino Finance relative to evaluating program quality and effectiveness, and identifies areas for improvement, and forecasts future program needs.
- Plans, measures and analyzes data, monitors trends and evaluates process and service quality and service quality gaps. Leads quality process development and improvement initiatives with respective departments.
- Assists in the Development of the annual Quality Assurance Review Plan after taking into consideration feedback from Senior VP, Casino Finance and other executive management. In collaboration with Senior VP, Casino Finance, coordinates all internal and external audit and reviews, including documentation, written responses and negotiations.
- Manages and provides feedback to associates and management via meetings, collaboration and reports. Makes presentations to department management, executive management and/or Tribal Business Committee.
- Reviews draft reports prepared by staff and approves all final reports for submission to management. Performs review and evaluation work of programs in complex or sensitive cases, as needed.
- Performs additional duties as assigned to support the efficient operation of the department.
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.
- High School Diploma/GED required. Bachelor’s degree preferred.
- Minimum seven (7) years’ gaming industry experience with at least 2 years in the areas of audit and/or compliance.
- Minimum three (3) years of Supervisory and/or senior level auditor experience in the areas of audit, investigations, quality control or risk management.
- Experience in performing audits, reviews, and/or assessments under Generally Accepted Auditing Standards (GAAS) or similar standards (e.g. Generally Accepted Auditing Standards) preferred.
- Knowledge and some audit experience in the areas relating to the Bank Secrecy Act, Anti-Money Laundering, and/or OFAC regulations.
- 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.
- Certified Public Accountant (CPA) and/or Certified Internal Auditor (CIA) certifications/licenses preferred.
- At the discretion of the San Manuel Tribal Gaming Commission you may be required to obtain and maintain a gaming license.