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Risk & Compliance Manager

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Location: Mossville, IL, United States
Date Posted: Jun 19, 2020

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Job Description


As a Compliance Manager at Caterpillar, you will manage the business process development, improvement, and ongoing support of Caterpillar’s Enterprise Ethics & Compliance Program within the Division. You will also manage and provide centralized business resources for business operations to mitigate the risks of fraud and regulatory non-compliance in alignment with Corporate objectives.

Job Duties/Responsibilities may include, but are not limited to:

* Compliance Risks associated with Caterpillar’s Enterprise Ethics & Compliance Program. 
* Lead the development and ensure implementation of the ethics and compliance program within the Division 
* Provide leadership and support to leaders in fostering and enhancing a values-based culture 
* Provide leadership to actively interface, and collaborate with all Compliance Risk process partners and act as an advisor to senior management for interpreting, analyzing, using and effectively responding to compliance information 
* Develop and maintain a close working relationship and coordination with the General Manager responsible for Compliance and the Business Manager to ensure effective, efficient and compliant business processes, annual action plans and metrics for the Division 
* Establish and maintain strong partnering relationships with all risk owners in Caterpillar’s Ethics & Compliance Program 
* Lead the development and implementation of worldwide controls/processes to ensure compliance with Caterpillar’s Code, policies and procedures, and applicable laws by the Division
* Support in leading the Division’s annual Ethics & Compliance Risk Assessment in coordination with the Business Risk Management (BRM) process 
* Identify key compliance risks and how they impact the Division 
* Deliver targeted communications on the Ethics & Compliance Program to the Division 
* Work with the HR Department to ensure completion of required Ethics & Compliance training (Annual Assessment & Questionnaire, required, job role, leadership) within the Division 
* Oversee the development and timely completion of any applicable remediation plans to correct the issues identified through the course of a compliance audit, assessment or OBP investigation
* Work with the export compliance team and implement processes and resources centrally and regionally to ensure compliance with global trade regulations and U.S. export controls and Enterprise procedures 
* Oversee the coordination of worldwide policies and procedures with those of the Enterprise 
* Provide leadership in developing relationships with the appropriate departments to ensure clear and effective implementation of policies 
* Coordinate with process partners to identify and prioritize key compliance risks to the Division and develop action plans to support the most effective integration of compliance processes 
* Design, develop, implement, monitor, and report compliance metrics to demonstrate Ethics & Compliance Program effectiveness within the Division. Provide reports to senior leaders, to the Office of Business Practices and to Risk Owners 
* Serve as a key contact, where appropriate, for Corporate Compliance Audits and Assessments
* Set the tone on communications and play a key role delivering ethics and compliance learning needs within the Division 
* Participate in process-partner projects to improve overall ethics and compliance as well as culture alignment with Our Values in Action 
* Provide visibility of compliance issues/concerns to the Chief Ethics & Compliance Officer, Office of Business Practices, Divisional leadership, and Risk Owners 
* Identify process improvement opportunities for providing transparent transactional processes to increase the likelihood of consistent ethical behavior of employees at all levels 
* Coordinate with the appropriate Managers to provide Our Values in Action training to employees and timely training to new employees. 
* Other functions designated from time to time that supports the Office of Business Practices overall objective of fostering and enhancing Caterpillar’s ethical culture through an effective Ethics & Compliance Program 
* Participate / attend global and regional meetings in support of the Caterpillar’s Enterprise Ethics and Compliance Program


Basic Qualifications:

* University degree or equivalent experience 
* 10 to 12 years of progressively responsible job-related experience 

Top Candidates Will Also Have:

* Thorough knowledge of the Reman’s business processes 
* Broad company knowledge and an understanding of Caterpillar’s Ethics & Compliance Program, Our Values in Action, and the Enterprise Policies and Procedures

* Excellent interpersonal skills, high integrity, and good judgment in order to deal with confidential issues, develop others, or persuade others inside and outside the department to take specific actions needed to support the Enterprise and Division


Relocation is available for this position.

Caterpillar is an Equal Opportunity Employer (EEO)

EEO/AA Employer. All qualified individuals - including minorities, females, veterans and individuals with disabilities - are encouraged to apply.
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Job Info

Jun 19, 2020


United States