Compliance Officer

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Habematolel Pomo of Upper Lake

Tribal Gaming Commission

Physical address: 635 E. Hwy 20, Upper Lake, CA

Mailing address: P.O. Box 97, Upper Lake, CA 95485

Office Phone: 707-262-5463 / 707-262-5464

Fax: 707-262-5472




Job Title: Compliance Officer

Type of Position: Holds responsibility to Habematolel Tribal Gaming Commission

(HTGC). Assist in conducting all avenues of compliance with the Tribal gaming facility or other areas as designated by the Habematolel Pomo of Upper Lake, Tribal Gaming Commission (HPUL/TGC), thereby assisting the HTGC in the assurance of full compliance of the gaming facility and designated areas.

Status: Full-time 40 hours per week

Pay Rate: Depending on Experience

Purpose: Responsible for conducting confidential investigations on employees/vendors/departments under considerations for gathering, compiling and analyzing relevant facts. Responsible for using HTGC documents for ensuring compliance as set forth by HTGC Regulations, Tribal Code, State Compact and National Indian Gaming Commission/MICS, or any other regulatory agencies recognized by the Tribe. Ensure compliance with all state regulations, casino internal controls and policies and procedures. Will follow-up on any documentation, correspondence, corrective and/or disciplinary action of all activity of any of the above with the appropriate supervisory personnel. Perform or coordinate all assigned special projects.

Minimum Qualifications:

1. Must be at least 21 years of age with a valid driver’s license.

2. Must not have been convicted of or entered a plea of nolo contendere to a felony in any jurisdiction for at least five (5) years.

3. Must dress appropriately for a business-working atmosphere.

Minimum Qualifications:

4. Successfully pass a drug test.

5. Successfully pass a background check that meets the requirements of NIGC.

6. Must meet the attendance guidelines of the job and adheres to regulatory, departmental and HTGC policy and procedures.

7. Must have the ability to correspond professionally at all times.

8. Must be able to communicate effectively, both written and oral reports.

9. Must have good organizational skills.

10. Work independently, exercise good judgment in safeguarding confidential and sensitive information.

11. Read, comprehend and interpret complex written materials.

12. Must be able to account for individual work time frame.

13. Must be willing to travel when necessary.


1. Reports to Habematolel Tribal Gaming Commission.

2. Conducts thorough and complete investigations/audits in accordance with the HTGC policies and procedures.

3. Interview employees/vendors, collect statements and other documents as required for investigations and able to direct employees/vendors to provide additional information if needed.

4. Prepares letters, reports and written summary of findings.

5. Issue a final report for consideration of recommendation to HTGC based on research and analysis.

6. Maintain strict confidentiality at all times. Ensure the privacy and confidentiality of all personnel matters pertaining to the performance of all compliance and/or special project duties.

7 Maintain a constant and professional interaction and communication with the HTGC personnel regarding compliance and corrective action for non-compliance of federal, state and tribal gaming regulations.

8. Conduct/assist on-site review of the written practices of the gaming facility; accounting, video technician, security, housekeeping and maintenance, gaming floor and table games.

9. Ensure and assist that tribal, state, federal minimum control standards are in full compliance and ensure that all discrepancies are investigated in all areas to which gaming is conducted.


10. Assist with on-site inspections of facility policy and procedures to ensure that the policies and procedures are not only in place, but are in full use. These spot checks must be done within the time frame designated by the HTGC Minimum Internal Control Standards (MICS).

11. In report form of the on-site inspections to keep on file for state and federal review. All files and information relating to the written internal structure of the tribal gaming facility must be kept current.

12. Use filing and tracking system for all reports and corrective action documentation for any violations as set up by HTGC.

13. Create and/or revise applications of documents pertaining to HTGC MICS as directed by the HTGC.

14. Prepare reports of activity and prepare reports of concern and of sensitive issues for HTGC.

15. Work with HTGC to reorganize and create procedures for a proper internal system that correlates with full compliance of the tribal, state and NIGC minimum internal control standards.

16. Attends training sessions, seminars and conferences as required.

17. Must assist with any other duties and/or responsibilities as directed by the HTGC.

Physical Demand

1. Able to bend at a 45-degree angle to reach bottom file draws.


1. Must have a high school diploma or equivalent.

2. At least one year of experience related to investigative work or ability to learn on the job.

3. Proficient in computer skills/electronic information systems to access data and utilize modern office techniques.

4. Has knowledge of gaming activity and conform to required policies as well as following procedures mandated by regulatory authorities, HTGC regulations and casino policies and procedures.