Compliance Jobs in Appleton, WI (NOW HIRING)

Assist management in achieving and maintaining compliance through assessment of audit reports, internal controls, corrective action follow ups, and regulatory reviews. This position is instrumental in continuous improvement of compliance ratings and providing support to gaming management to achieve their goals of improving operating efficiency and effectiveness while maintaining compliance with all applicable regulations. Maintain confidentiality of all privileged information.

DUTIES AND RESPONSIBILITIES:

• Assist in developing, maintaining, and facilitating effective communication processes for all personnel of gaming operations. Ensure gaming management reports are generated in a timely and effective manner for all operational compliance matters. Ensure established procedures and processes are always utilized for maximum understanding and coordination of compliance matters.
• Assist with Audit Compliance by performing assessments of the Gaming Division through compliance testing and observation to evaluate departmental compliance status and identify areas that need additional follow up.
• Assist Gaming Management in producing responses for all audits conducted on Gaming, ensuring that corrective action plans correspond to noncompliant findings.
• Follow up on all audits conducted for Gaming by internal and external auditing entities.
• Collect and maintain accurate records and information regarding audit compliance, ensuring confidentiality is always maintained.
• Assists in formatting and developing internal controls for the Gaming Division to safeguard tribal assets and meet regulatory requirements.
• Review internal controls referencing all applicable Local, State, and Federal regulations.
• Lead and participate in special assignments and projects relevant to internal controls and regulatory issues.
• Assist in formatting and developing Standard Operating Procedures (SOPs) for the various Gaming Departments.
• Review SOPs referencing all applicable internal controls and required regulations.
• Work with each Gaming Department to maintain updated SOPs for the departments Standard Operating Procedures Manual.
• Route and monitor status of work standards, internal controls, and SOPs, from draft documents through to final approved documents.
• Coordinate the dissemination of work standards, internal controls, and SOPs to all appropriate Gaming and Tribal Departments.
• Assist in interactive communication with the Audit Committee and other regulatory bodies by preparing compliance and observation reports for Gaming Management.
• Attend department meetings to provide input and recommendations for improving business processes/methods.
• Provide verbal and written updates and workload status to supervisor.
• Contribute to team effort and accomplish related results as required.
• Adhere to all Tribal Personnel Policies and Procedures, Tribal Standard Operating Procedures, Gaming Division Strategic Plans and Policies.
• Maintain strict department security, confidentiality, and quality to meet professional standards of the department.

STANDARD QUALIFICATIONS:

• Knowledge and understanding of Gaming industry regulations, proposed rules, procedures, and controls.
• Knowledge of federal, state, and Indian Gaming regulations.
• Knowledge of audit procedures.
• Knowledge of CFR Title 31.
• Skill in operating business computers and office machines in a Windows environment, specifically Word, Excel, Access, and presentation software (such as PowerPoint).
• Ability to establish and maintain professional relationships with staff, clients, management or other departments as well as external agencies of varying social and cultural backgrounds and with co-workers at all levels.
• Ability to inform and communicate verbally and in writing in diverse and challenging situations.
• Ability to process information effectively, set priorities, meet strict deadlines and successfully cope with challenging situations and conditions.
• Ability to managematters of regulatory compliance.
• Ability to handle multiple projects at one time, prioritizing and using time effectively while meeting deadlines.
• Ability to work independently with minimal supervision.
• Ability to define problems, collect data, establish facts and draw valid conclusions.
• Must adhere to strict confidentiality in all matters. (Must sign a confidentiality statement prior to employment.)
• Must be willing and able to obtain additional education and training.
• Must pass a pre-employment drug screening. Must adhere to the Nations Drug and Alcohol-Free Workplace Policy during the course of employment.
• Must pass a background security check with the Oneida Nation in order to meet the Employment Eligibility Requirements, Tribal/State Compact and/or Oneida Nation Gaming Ordinance as they pertain to the position. A temporary license or Gaming License issued by the Oneida Gaming Commission is required as a condition of employment and continuing employment within the Oneida Nation's Gaming Division.
• A valid drivers license or occupational drivers license, reliable transportation, and insurance are required. Must obtain a Wisconsin drivers license or occupational drivers license within thirty (30) days of employment if applicant has an out-of-state drivers license. Must be authorized as eligible to operate a personal vehicle under the Oneida Nations Vehicle Driver Certification and Fleet Management Law prior to actual start date. Must maintain drivers eligibility as a condition of employment.

PREFERRED QUALIFICATIONS:

• Bachelors Degree in Auditing, Accounting, Communications or a related field.

MINIMUM QUALIFICATIONS:

• Must be eighteen (18) years of age.
• Associates Degree in Auditing, Accounting, Communications or a related field.
• Three (3) years of experience in gaming regulatory auditing, accounting, regulatory reviews, and policyand/or procedures analysis.
• One (1) year working with regulations at the Federal, State or Tribal level; an equivalent combination of education and experience may be considered.

PHYSICAL REQUIRMENTS/WORK ENVIRONMENT:

• Frequently sit, stand, walk, use hands, reach with hands and arms, talk and hear.
• Occasionally stoop, kneel, and lift and/or move up to twenty-five (25) pounds.
• Work is generally performed in an office setting with moderate noise level.
• Must be able to work evening, holiday and/or weekends, extended hours and irregular shifts.
• Work environment may NOT be smoke, noise, or dust free.
• A Tuberculosis (TB) Screening and/or a 2 step TB Skin Test is required within thirty (30) days of employment.

• Must provide a copy of Diploma, License, Degree or Certification upon employment.

Department: Compliance
This is a non-management position
This is a full time position
Closing Date: Until Filled
Transfer Date: Until Filled