Division Compliance Manager

Description

Career Area:

Job Description:

For more than 90 years, Caterpillar Inc. has been making sustainable progress possible and driving positive change on every continent. Customers turn to Caterpillar to help them develop infrastructure, energy and natural resource assets. With 2019 sales and revenues of $53.8 billion, Caterpillar is the world’s leading manufacturer of construction and mining equipment, diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives. Services offered throughout the product life cycle, cutting-edge technology and decades of product expertise set Caterpillar apart, providing exceptional value to help our customers succeed. The company principally operates through three primary segments – Construction Industries, Resource Industries and Energy & Transportation – and provides financing and related services through its Financial Products segment.

As a Division 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. This role provides compliance leadership within the Integrated Components and Solutions (ICS) Division of Caterpillar as well as several smaller areas of the Resource Industries Segment.  The ICS division is a dynamic global division consisting of a diverse portfolio of products and services that meet the needs of clients and customers for differentiated drivetrain, hydraulic, and electrical components.  The ICS division is comprised of manufacturing, engineering, design, and support teams located throughout the world. 

Job Duties/Responsibilities may 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.

Required Qualifications:

• Bachelor’s degree from an accredited college or university
• 10 to 15 years of progressively responsible job-related experience

Desired Qualifications:

• Previous leadership experience in Controls, Compliance, and Audit functions preferred
• 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.
• 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

Additional Information:

Please frequently check the email associated with your application, including the junk/spam folder, as this is the primary correspondence method. If you wish to know the status of your application – please use the candidate log-in on our career website as it will reflect any updates to your status.

This employer 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, O. As a global company, Caterpillar offers many job opportunities outside of the U.S. which can be found through our employment website at www.Caterpillar.com/Careers.

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

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