Compliance Auditor (64669)

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Job Summary:

The compliance auditor is responsible for ensuring that the company is adhering to legal aspects of regulatory compliance reporting. This would include examinations of gaming transaction-related activities, reviewing records, reports, software and any other relevant programs and activities affected by regulations. As part of their responsibilities, Compliance Auditors will analyze potential risks within specific areas of their duties to avoid compliance issues. They also review and enforce compliance with standards or regulations imposed by professional organizations or even a company’s internal guidelines. They might conduct audits in the areas of accounting, finance, information technology or security.

Responsibilities:

• Ensures compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation; and recommending opportunities to strengthen the internal control structure.  
• Conduct inspections and monitor gaming terminal facilities.  
• Provides management reports by collecting, analyzing, and summarizing management information.
• Ensure compliance with tribal, state, and federal regulations and practices.  
• Meets work standards by following production, productivity, quality, and customer-service standards; resolving operational problems; and identifying work process improvements.  
• Updates job knowledge by participating in educational opportunities like reading professional publications, maintaining personal networks, and/or participating in professional organizations.  
• Detail oriented and able to meet reporting deadlines.  
• Assist with conducting staff education and training.  
• Assist with external audit readiness and implementation follow up.  
• Performs other duties as assigned.

Qualifications

•     Minimum of 1–3 years of related experience in auditing, compliance, finance, or casino operations required.

•     Associate’s degree in Accounting, Finance, Business Administration, Criminal Justice, or a related field preferred;

•     Finance, Accounting, Audit, or Regulatory Compliance background preferred, with exposure to casino or gaming operations highly desirable.

•     Basic understanding of gaming regulations, internal controls (MICS/ICS), and/or Title 31 (BSA/AML) preferred.

•     Proficiency in Microsoft Office, particularly Excel; experience with audit or casino management systems preferred.

•     Ability to work flexible schedules, including weekends, holidays, evenings, and shift work as needed.

•     Must be able to obtain and maintain a valid Catawba Gaming License.

•     Must be at least twenty-one (21) years of age.

Knowledge, Skills & Abilities

•     Strong attention to detail, accuracy, and organizational skills.

•     Demonstrated analytical, critical thinking, and problem-solving abilities.

•     Ability to evaluate internal controls, identify risks, and follow up on discrepancies.

•     Effective written and verbal communication skills, including report writing.

•     Ability to interpret and apply regulations, policies, and procedures within a gaming or compliance environment.

•     Working knowledge of casino operations, accounting practices, or audit processes preferred.

•     Strong time management skills with the ability to meet deadlines and manage multiple priorities.

•     Ability to work independently and collaboratively within a team environment.

•     Ability to follow verbal and written instructions and maintain a high level of confidentiality and integrity.

•     Comfortable working in a fast-paced, high-volume environment, including areas with elevated noise levels and possible exposure to secondhand smoke.

Physical Requirements  

While performing the duties of this position, the employee is regularly required to reach with hands and arms; bend to open/use lower drawers or cabinetry; to talk, hear, and see. Prolonged periods of sitting at a desk and working on a computer. The employee is occasionally required to stand; walk; climb or balance; stoop, kneel, crouch, or crawl. The employee must occasionally lift and/or move up to 35 pounds.

Nothing in this job description restricts the management’s right to assign or reassign duties and responsibilities on this job at any time.

Revised 10.05.22 Catawba Indian Nation exercises INDIAN PREFERENCE Native American Indian preference shall apply to this position pursuant to the Indian Self-determination and Education Assistance Act (24 U.S.C. 450, et seq.), 25 CFR 271.44 and other relevant laws (title 25, U.S. code, Section 472 & 473)