Regulatory Compliance & Risk Manager

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Job Summary:

Responsible for managing programs that will minimize risk injury to employees and guests, loss of company assets and regulatory fines. Ensures compliance with  all federal and local agencies in pursuant to Compact and Tribal Gaming Code. Performs daily reviews and corrective action to ensure compliance with NIGC Minimum Internal Control Standards.  Assists in ensuring the integrity of internal controls to safeguard the property’s assets.



  • Bachelor’s Degree in Accounting, Computer Science or related field preferred.
  • Previous experience in Accounting, auditing, and/or casino operations preferred.
  • Broad knowledge of Casino Cashiering, Casino Operations or Income Control preferred. 
  • Supervisory experience preferred.
  • Experience interacting with multiple department supervisors/managers required. 
  • Employee relations skills a must. 
  • Must be detail oriented and must have exceptional organizational skills.
  • Strong background in Risk Control & Safety or related field. Preferred
  • Technical knowledge of OSHA, HACCP (Food Safety), DOT, NFPA, EPA, FAA, NTSB and working knowledge of security operations.
  • Strong organizational, analytical and communication skills, both verbal and written.
  • Ability to facilitate management committee meeting.
  • Technical proficiency on Word, Excel, PowerPoint.


Essential Job Functions:

  • Performs scheduled reviews and corrective action of departmental policies, procedures and controls in order to maintain the necessary controls required to safeguard the property’s assets and integrity, utilizing company guidelines.
  • Performs scheduled reviews of SDS, CMS, LMS, MICROS, and any other systems to ensure compliance and controls are properly enforced.
  • Ensures procedural compliance in relation to MICS and ICS in the operational areas through observations and audits of performance of daily tasks in each area.
  • Monitors Title 31 audit paperwork to ensure proper procedures are being followed at all times. Checks work, and reports any unusual variances and/or discrepancies. Finds and solves variances and/or discrepancies.
  • Manages Title 31 and SARC review and reporting and Title 31 training.
  •  Reports any variances, proposals for corrective action, and implements agreed upon action to the Senior Management.
  • Monitors and reports all issues which do not fall within sound auditing and/or company accounting procedures.
  • Identifies opportunities to automate manual processes and increase the ability to perform thorough audits.
  • Identifies confidential information and follows procedures for safeguarding such information.
  • Coordinates and performs Title 31 training on property for all applicable departments.
  • Acts as liaison between the Tribal Gaming Commission and the property.
  • Coordinates all external audits performed on the property (including but not limited to Internal Audit, Tribal  Gaming Commission, External Auditors, Federal and/or State Auditors)
  • Oversees assembling, auditing, posting and preparing various detailed accounting reports for departmental review and/or incorporate audit information into more complex reports, including month-end general ledger posting, according to established policies and procedures. 
  • Maintains complete understanding of all audit areas.
  • Monitors and manages exceptions on property.
  • Conducts Performance Reviews

  • Makes or recommends wage increases

  • Makes or recommends promotions

  • Provides for safety and security

  • Handles employees' complaints or grievances

  • Monitors legal compliance with federal, state, and gaming laws
  • Assists with implementation and manages programs that will minimize risk injury to employees and guests, loss of company assets and regulatory fines.
  • Identifies and communicates loss exposures relating to general liability, workers compensation, garage keepers liability, security and asset protection, regulatory compliance, emergency preparedness and evaluates/recommends/implements appropriate solution.
  • Makes recommendation with development and coordinates training programs for casino/hotel management and employees to enhance Risk Control Awareness and reduce loss.
  • Implements effective operational standards for safety and security in the casino and hotel.
  • Monitors and ensures compliance with federal, state and local code requirements including , Alcohol Management, HAZCOM, Bloodbourne Pathogens, Lock-Out/Tag-Out and Emergency Preparedness.
  • Develops a formal inspection program for hazard identification and resolution.
  • Analyzes claims data, recommends appropriate corrective actions, and prepares management summary reports.
  • Identifies the need for and coordinates the work of safety or Risk Management consultants.
  • Designs and implements appropriate safety incentive programs.
  • In conjunction with Corporate Risk Management, ensures proper insurance coverage for the organization including monitoring and retention of applicable certificates of insurance.
  • Ensures that vehicle registrations are up to date and renewed timely


Physical, Mental & Environmental Demands:           

  • Able to analyze and interpret compact and tribal gaming code. 
  • Able to work at a computer terminal through out the assigned shift and sit for long periods of time. 
  • Able to bend, reach, carry, stand, and maneuver up and down stairs. 
  • Respond to visual and aural cues. 
  • Able to read, write, speak and understand English. 
  • Must be able to operate the following equipment: computers, printers, copier, 10 key adding machine and telephone.



Harrah’s reserves the right to make changes to this job description whenever necessary.  It is our policy to provide equal employment opportunity to all persons regardless of age, color, national origin, citizenship status, physical or mental disability, race, religion, creed, gender, sex, sexual orientation, gender identity and/or expression, genetic information, marital status, status. This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. Duties, responsibilities and activities may change or new ones may be assigned at any time with or without notice.

  Preference is given to qualified Buena Vista Me-Wuk tribal members and members of other federally recognized tribes

Location: Ione, CA
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