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Risk & Compliance Manager

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Location: Mossville, IL, United States
Date Posted: Oct 1, 2020

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Job Description


Caterpillar’s Strategic Procurement Division is hiring a Risk and Compliance Manager.  This position is responsible for all Compliance Risks associated with Caterpillar’s Enterprise Ethics & Compliance Program.

Consistent with Caterpillar’s Enterprise Ethics & Compliance Program, the incumbent will lead the development and ensure implementation of the ethics and compliance program within the Division.

Job responsibilities include but are not limited to:
  • 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 Corporate Compliance Attorneys, 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.
  • Oversee the development and timely completion of any applicable remediation plans to correct the issues identified through the course of a compliance audit.
  • 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.
  • 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.
  • Provide visibility of compliance issues/concerns to the Chief Ethics & Compliance Officer, Office of Business Practices, Divisional leadership, and Risk Owners.

The incumbent will work directly with senior leadership within the Division on the Ethics & Compliance strategy for the Division. The position often confronts complex issues or problems, which require careful analysis, diagnosis, and confidentiality. The incumbent may need to modify existing approaches or develop new solutions. The incumbent sets priorities and establishes a work plan in order to complete broadly defined assignments and achieve desired results.

The position will require some (up to 25%) travel, as the above-mentioned processes and responsibilities need to be implemented throughout ’s global operations.



Basic Requirements:
  • University Degree in relevant field
  • 10 to 15 years of progressively responsible job-related experience
Top Candidates Will Also Have:
  • Thorough knowledge of the Division’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 are required 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.
  • Previous procurement and/or controls, audit experience preferred.

Caterpillar is not currently hiring foreign national applicants that require or will require sponsorship tied to a specific employer such as H, L, TN, F, J, E and O. However, as a global company, Caterpillar offers many job opportunities outside of the U.S. which can be found through our employment website.


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


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Job Info

Oct 1, 2020


United States