Director Compliance

SUMMARY:

This position directs and oversees comprehensive compliance across all licensed cannabis operations, including cultivation, manufacturing, post-production, and distribution facilities. A key focus of this role involves conducting and overseeing forensic investigations and accounting analyses to detect and prevent fraud, waste, and abuse, ensuring adherence to all applicable regulations. The Director of Compliance is also integral to our commitment to delivering a Five Star Experience to Guests and Team Members, embodying our Service Promise: "We are the Twenty-Nine Palms Band of Mission Indians Team, where your experience is our top priority. Every person and detail matters."

ESSENTIAL DUTIES AND RESPONSIBILITIES:

The requirements listed below are representative of the knowledge, skill, and/or ability required to perform this job successfully. Upon request, reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Provide outstanding customer service to guests and all other employees by exceeding our mission statement.
• Lead by example and carry out our Five Star Experience to Guests and all Team Members by fulfilling our Mission Statement, Service Promise and following department service standards. This entails consistency performing our service expectations of: Welcoming, Proactive, Seamless, Personalized and Valued.
• Continually coach and support Team Members to ensure they have the skills, tools and resources to successfully complete their jobs, including the delivering of the Five Star Experience expectations.
• Oversees all compliance-related activities, including licensing, regulatory reporting, quality assurance for product labeling, compliance testing of products, and security measures.
• Responsible for being a key member of the management team and will work closely with other departments to ensure compliance with all levels of regulations.
• Conduct and/or oversee forensic audits of financial, operational, and inventory records to detect and prevent fraud, waste, and abuse within all licensed cannabis operations (cultivation, manufacturing, post-production, and distribution).
• Develop and implement proactive measures and internal controls based on forensic audit findings and investigative insights to strengthen compliance and prevent future issues.
• Prepare comprehensive and well-documented reports of forensic audit findings and investigative outcomes, including recommendations for corrective actions and process improvements.
• Oversee the accurate and timely filing of Currency Transaction Reports (CTRs) and Suspicious Activity Reports (SARs) in accordance with Title 31 requirements.
• Develop, implement, and oversee a compliant inventory control and tracking system, including all METRC inputs and reports.
• Ensure seamless integration of METRC with backbone, cultivation third-party software (Cannabis 356), and accounting systems to accurately reflect inventory data across all relevant reports.
• Manages the licensing process, including applying for and renewing licenses and permits.
• Develop, implement, and maintain compliance policies and procedures to ensure ongoing adherence to TCC Commercial Cannabis Regulations, including continuous monitoring of regulatory changes and the implementation of necessary updates.
• Oversee compliance-related reporting, including monthly compliance reports and other regulatory filings.
• Utilize forensic accounting and investigative techniques to trace assets, identify discrepancies, and reconstruct financial data relevant to compliance matters.
• Ensure comprehensive organizational compliance with all aspects of Title 31 of the Bank Secrecy Act (BSA), including CTR, SAR, and CIP.
• Develop, implement, and maintain the Tribal Gaming Casino's Title 31 compliance program in alignment with federal regulations and tribal internal controls, overseeing accurate and timely reporting and serving as the primary point of contact for related inquiries.
• Ensure that all products are properly labeled and comply with TCC packaging and labeling regulations.
• Establish and maintain compliant security measures, including cameras, alarms, and physical barriers.
• Conduct regular internal audits to ensure compliance with TCC regulations.
• Respond promptly to any violations or incidents that may arise.
• Create, digitize, and implement Standard Operating Procedures for compliance monitoring.
• Train and educate team members on all compliance-related matters.
• Facilitate safety trainings for forklifts, scissor lifts, and other equipment.
• Create proper PPE compliance measures amongst team members.
• Ensure proper OSHA compliance is being met across the facilities.
• Will work in both office environment as well as onsite on the cultivation, manufacturing, distribution sites.
• Manage and review all outgoing and incoming METRC orders, ensuring complete accuracy with the manifests and invoices.
• Investigate and resolve compliance related concerns, issues or violations; collaborate with management to compile.
• Evaluate current procedures, practices and precedents for accomplishing activities and functions relative to compliance.
• Develop and implement alternative methods for improvement in compliance.
• Serve as the company liaison with law enforcement and regulatory agencies as it relates to compliance.
• Direct and coordinate, through subordinate and/or contract personnel, activities and security functions, utilizing knowledge of established policies, procedures and practices.
• Set deadlines to ensure completion of operational compliance initiatives.
• Maintain excellent communications with all Directors and Managers.
• Develops and implements approved departmental policies and procedures.
• Responsible for all necessary record keeping.
• Comprehensive understanding of forecasting, budgeting, scheduling, productivity, inventory controls (if applicable), P&L analysis, and cost controls.
• Ensure the budget for the department is monitored and adhered to by implementing effective processes and procedures.
• Prepare necessary data for the budget in area of responsibility; project annual costs and monitor actual results; take corrective action where necessary.
• Keep abreast of competitive changes including industry trends and local competitive set.
• Develop, maintain and nurture a positive work environment.
• Responsible for maintaining a disciplined environment and implement practices that promote safety, quality and productivity.
• Coordinate and supervise training, assignments, and development of subordinates.
• Ensure compliance with all Minimum Internal Control Standards (MICS) as well as all Tribal Internal Control Standards (TICS).
• Present a positive image of the Tribal organization to its guests and vendors and to assist them as required.
• Must follow all safety policies and procedures and attend all scheduled safety meetings and training as a condition of employment.
• Able to make difficult decision in a fair and honest manner.
• Strong verbal and written communication skills.
• Perform any other duties that may be assigned from time to time.

SUPERVISORY RESPONSIBILITIES:

Manage directly and indirectly all employees of the Tribal Commission Department.  Adhere to the Tribal organization’s policies, procedures and applicable laws.

Responsible for the overall direction, coordination, and evaluation of this unit.

Carry out supervisory responsibilities which include but are not limited to: interviewing and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems.

EDUCATION AND EXPERIENCE (MUST BE DOCUMENTED):

• Bachelor’s degree preferred in related field (or equivalent experience).
• Ten (10) years equivalent Supervisory/Management experience.
• Specific experience in investigating financial irregularities, inventory discrepancies, and potential compliance violations.
• Demonstrated experience in conducting forensic audits and leading complex investigations, preferably within a highly regulated industry.
• Familiarity with forensic accounting principles, investigative techniques, and evidence handling procedures highly desirable.
• Experience working with law enforcement or regulatory bodies on investigative matters is highly desirable.
• Familiarity with FinCEN (Financial Crimes Enforcement Network) guidelines and pronouncements related to Title 31 preferred

CERTIFICATION, LICENSES AND ANY ADDITIONAL REQUIREMENTS:

• Must pass periodic random drug screens.

• Must be able to pass background suitability investigation.
• Must obtain a Tribal Gaming License.
• Must obtain all other applicable certifications and licenses.
• Must provide proof of eligibility to work in the United States within 72 hours of employment.

PHYSICAL DEMANDS:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Upon request, reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this Job, the employee is regularly required to talk and hear. The employee is frequently required to stand; walk and sit. The employee is occasionally required to use upper extremities, including but not limited to, hands and fingers to handle, or feel; reach with hands and arms. They may be occasionally required to climb or balance, stoop, bend, push, pull, twist, kneel, crouch, or crawl. The employee must occasionally lift up to 50 pounds and/or push, pull up to 100 pounds. The employee is occasionally required use repetitive movements to complete tasks. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception and ability to adjust focus. Employee may be occasionally required to work in low light conditions, and may be exposed to loud noise for extended periods. 

WORK ENVIRONMENT: 

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job.

• Multiple locations.
• Some enterprises are open 24 hours per day, 7 days per week; therefore, you must be flexible to work any and all hours.
• Must be available for emergency calls 24/7
• Must be available to work weekend and holidays.
• Some enterprises are gaming facilities.
• Some enterprises are not a smoke-free environment.
• Surveillance cameras and audio equipment monitor the premises recording activity throughout most of the facilities on 24 hours per day, 7 days per week basis.

INDIAN PREFERENCE ACT:

The Twenty-Nine Palms Band of Mission Indians has a resolution on file with Human Resources to ensure that Indian Preference will be adhered to in the following order in accordance with IPA:

                                         1.  Tribal Members

                                         2.  Other Native Americans

                                         3.  All other ethnic groups