Joseph Busby Email and Phone Number

• Responsible for establishment and oversight of the brand new Internal Audit Department for a young state casino/hotel operation including, but not limited to, establishment of risk-focused audit function, development of comprehensive audit and controls strategy and departmental testing/audit documentation, staff training and development, and maintenance of departmental budget related to staffing and operating expenditures• Direct report to the Audit Committee; work with CFO, CEO and executive management daily on various regulatory compliance matters and advising management on cost-effective controls for new systems and activities• Responsible for planning, oversight, execution and review of risk-based audits to evaluate the effectiveness of internal controls and policies and procedures and to ensure compliance with state and internal regulations • Supervise a wide range of financial/operational/compliance audits; review business processes and financial practices organization-wide to ensure the use of compliant best practices, procedural efficiency, and accuracy• Established and conducted annual casino-wide risk assessment as part of the annual audit planning process in compliance with the state regulations and internal control requirements• Developed an integrated internal audit plan based on the casino risk assessment and began the annual internal audit testing • Responsible for liaising with the external auditors to ensure that assurance from both internal and external resource is provided cost effectively

• Responsible for analysis of procurement efforts for paper/pulp mills within the US South Eastern region• Conducted financial audits and analysis of investments related to improved operations• Led analysis of potential acquisitions to determine profitability and value added benefits

• Oversaw the Regulatory Compliance Department and Surveillance Departments for 3 Tribal casinos consisting of a team of over forty (40) auditors and surveillance agents• Responsible for overseeing strategic planning, team development, reporting, evaluations, risk mitigation, and business development• Reported to Audit Committee and Executive Management on the programs, policies, and activities of the various departments within the organization• Developed and implemented internal controls to increase protection and accountability of cash/assets• Developed standard operating procedures for the Regulatory Compliance Department and the Surveillance Departments at 3 individual casino operations• Provided oversight in areas of Indian casino regulatory compliance and advised members of the Executive Management team on compliance matters• Developed and implemented an Anti-Money Laundering Program in accordance with the Bank Secrecy Act• Monitored and helped ensure compliance with federal, state and local laws and regulations• Responsible for direct communication with the IRS, FinCEN, National Indian Gaming Commission (NIGC) and other state and local regulatory authorities to ensure proper interpretation of laws and regulations and compliance with those laws and regulations• Developed and managed risk-based audit plans and efficiency reviews• Organized, planned and carried out the internal audit function that includes the preparation of an audit plan, assigning work, scheduling and estimating resource needs• Conducted any tasks or reviews requested by the Audit Committee, trustees, CFO and/or CEO• Managed contact with the external auditors and make sure that every party is not only aware of the other's work but also well aware of areas of concern• Provided Audit Committee and Executive Management with an opinion on the internal controls

• Implemented reporting procedures used by 3 Tribe's gaming facilities to report suspicious activities or gaming related crimes• Investigated gaming related thefts of Tribal assets and successfully aided the U.S. Attorney's Office and the Department of Justice with the prosecution of responsible parties• Assisted the Administrator with day-to-day operations within the department and acted in his stead during his absence• Reported to the Tribal Gaming Commission, on a monthly basis, all background investigation findings and updates on any court procedures in which the Commission was involved• Assisted the Internal Audit department with interpretation of Tribal and federal regulations

• Responsible for areas of Escambia County Alabama and North Escambia County Florida• Investigated narcotics violations as an undercover agent for the Narcotics Division, which resulted in the successful prosecution of several drug dealers in the area• Assigned as the Administrator of the Domestic Violence Tack Force; acted as a liaison between the Sheriff’s Office, the District Attorney’s Office and the Protective Services Agencies in the State; administered and worked with federal and state grants• Developed and led training in areas of Domestic Violence Awareness of all law enforcement agencies county wide and conducted several public speaking engagements on the subject• Supervised a team of Investigators for all major crimes in Escambia County. The role of supervisor required extensive training in investigative methods, scheduling, evaluations and disciplinary actions. As Sergeant of the Investigations Division, was responsible for taking the lead on all homicide investigations• Acted as the Firearms Instructor for the Sheriff’s Office and the Poarch Police Department; conducted classroom training and field exercises to train police officers in the use of handguns, shotguns and rifles • Chosen as a member of Alabama’s Child Death Review Team, which was made up of law enforcement officials and medical professionals tasked to investigate any suspicious child death in any jurisdiction in the state• Received extensive training in most areas of law enforcement including, courtroom security, homicide investigations, profiling, robbery/burglary investigations, sexual assault investigations, interview/interrogation methods and hostage negotiations