1. Job Identification:
Position Title:
Compliance Agent
Location:
Downstream Casino Resort
Department:
Quapaw Nation Gaming Agency
Reports to:
Compliance Supervisors
2. Position Summary:
To implement the Gaming Agency ordinance and/or regulations with honesty and integrity and to assist in its day-to-day activities. No person who has been convicted of any gambling or bribery offense or any felony is eligible to serve as the Compliance Agent of the Gaming Agency. The Compliance Agent of the Gaming Agency will make every effort to work closely and cooperatively with the Director of the Gaming Agency, Deputy Director, Compliance Supervisor, other staff, Gaming Authority, administration, and others.
The Compliance Agent will be required to include all compliance procedures and/or expanded documents required from daily business. They will assure, at all times, acceptable internal controls are being maintained to enable, secure, monitor and safeguard the honesty, integrity, fairness and security of the Gaming Agency and its operation.
3. Essential Job Functions:
Responsibilities include but are not limited to, supporting the regulations in accordance with the Quapaw Nation Gaming Ordinance to assist in establishing and implementing Tribal and National Indian Gaming Commission Minimum Internal Control Standards.
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Observe the casino operations and report all findings.
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Observe all table games and slot machines to verify that the rules of the games are adhered to.
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Observe all casino, cage, and count room and surveillance operations to assure all regulations are being followed.
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Observe the table drop and currency acceptor drop and all related regulations.
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Observed the currency acceptors and table games soft count and all related regulations.
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Observe the inspection of gaming equipment.
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Supervise the placement of gaming seals on approved gaming machines.
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Examine slot entry logs and all related documentation.
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Document all patron complaints, disputes, and incidents as required.
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Verify all jackpots over $1,200.
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Observe all facets of table games and related regulations.
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Provide control required in NIGC Internal Control Standards.
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Monitor and report compliance with the Nation’s internal control standards.
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Check licenses and badges of casino employees to assure they are properly displayed and are current.
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Inspect used cards periodically and ensure all used cards are accounted for.
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Observe patrons who have been placed on the voluntary or involuntary exclusion lists that may be in the casino.
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Prepare daily time reports to be submitted to Supervisors and Directors.
If assigned, additional technical duties:
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Will assist in developing and operating the internal audit department, as required by the Nation, Gaming Agency, or other entities designated by the Nation.
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Responsibility for ensuring gaming machine standards compliance of both Class II and Class III electronic gaming machines.
- Assure compliance standards will be accomplished through testing of EGM and related software.
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Administer software systems.
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Receives, tests, and tracks electronic gaming machines and software.
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Certifies vendor EGM and software upgrades and/or revisions.
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Completes follow-up testing on EGM and servers.
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Tests casino back-office systems to ensure technical compliance.
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Maintains, updates and repairs computers and related equipment with the TGA.
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Prepares documented reports for the RGA of all testing of EGM and related software.
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Maintains detailed filings of all related materials and testing for audit and inspections.
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Determines validity of EGM prize claims.
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Assure compliance to the tribal regulatory authorities adopted MICS in its entirety.
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Assure compliance to the Federal standards to NIGC approved variances and that they are materially addressed.
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Will conduct compliance checklist appropriate for the Nation’s current Tier gaming operations. Including reviews, observations and substantive testing for cage and credit, internal audit, surveillance, and information technology services.
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Will properly document the work performed, the conclusions reached, and the resolution of all exceptions concerning the regulatory income of machine and game variance.
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Will be responsible for preparing reports following review of operations and investigating proper procedures, ensuring corrective action.
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Periodically test the surveillance equipment to ensure that there is adequate coverage in all sensitive areas including the casino, cage, count room and security offices.
- Review games, machines and metered information and identify and communicate non- compliance issues to the director.
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Must be able to maintain all required files and work papers supporting the internal MICS requirements.
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To assist in submitting to the Gaming Director a monthly report of the status of all gaming activities and gaming matters.
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The agent will be required to include all additional procedures and/or expanded documents required from daily business.
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Ensure the Nation gaming facilities are constructed, maintained, and operated in a manner that adequately protects the environmental, public health, and safety, as per the Gaming Agency Ordinance and/or National Indian Gaming Commission regulations.
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To investigate possible violations of the Gaming Agency Ordinance and the Indian Gaming Regulatory Act, the Johnson Act and/or State compact issues, including rules and regulations issued there under and take appropriate enforcement action, which may include the impoundment of evidence and winnings until a matter is resolved.
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Responsibility will include machine problems and/or thefts to ensure they are detected in a timely manner.
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All other duties as assigned.
4. Requirements:
The Gaming Agency staff shall refrain, at all times, from participating in any gaming activities at the casino or any other gaming establishment under the Gaming Agency authority and shall not handle any matter in which an applicant or subject is a member of his or her immediate family or is an entity in which he or she has a pecuniary interest.
5. Qualifications:
- Completion of two years of college level study in an accredited college or university with criminal justice, accounting, finance or management preferable. Computer business and/or computer programming and experience may be substituted for education. Professional business experience may waive educational requirements based on an evaluation of experience and/or demonstration competence.
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Must be proficient in writing skills including preparation of required gaming, governmental, and tribal correspondence.
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Must be organized and have excellent typing skills; the ability to operate various office machines; experience with various computer programs; and high computer skill level. Must be able to operate Microsoft Word and Excel, data programs, as well as additional acquired programs.
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Communication skills are a necessity to enable working with the gaming agency, state, and federal agencies, on a professional level.
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Must enter into a Confidentiality Agreement with the Quapaw Nation. Breach of the agreement will be grounds for dismissal.
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Cooperation in working with the casino management and employees is a must.
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Must pass a mandatory drug screening, and complete background investigation.
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Must be physically able to perform all requirements of the position.
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May have flexible days and hours.
6. Working Conditions:
The gaming agency staff shall refrain, at all times, from participating in any gaming activities at the casino or any other gaming establishment under the Gaming Agency authority and shall not handle any matter in which an applicant or subject is a member of his or her immediate family or is an entity in which he or she has a pecuniary interest.
7. Disclaimers:
This job description encompasses and describes most but not all tasks and responsibilities of the job. The management reserves the right to change the nature of the job and the job description with or without prior warning, as well as to give special consideration to circumstances related to the essential job functions on a case-by-case basis. The incumbent may be required by the management to perform other duties as assigned.
