Additional Functional Areas
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As a Division Risk and Compliance Manager at Caterpillar, you will manage the business process development, improvement, and ongoing support of Caterpillar’s Enterprise Ethics & Compliance Program within the Excavation 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. Additional roles and responsibilities may include:
- 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 Excavation 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 Corporate Compliance Attorneys.
- Establish and maintain strong partnering relationships with all Enterprise Risk Advisors who support Caterpillar’s Ethics & Compliance Program.
- Develop and maintain a close working relationship and coordination with the Office of Business Practices.
- Lead the development and implementation of worldwide controls/processes to ensure compliance with Caterpillar’s Code, policies and procedures, and applicable laws.
- Identify key compliance risks, how they impact the Division, and lead projects to mitigate the risks.
- Deliver targeted communications on the Ethics & Compliance Program across the Division.
- Work with the HR Department to ensure effective assignment of Ethics & Compliance training.
- Oversee the development and timely completion of any applicable remediation plans to correct the issues identified through the course of an internal audit, assessment, compliance review 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.
- Provide leadership in developing relationships with the appropriate departments to ensure clear and effective implementation of policies and process enhancements.
- 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, Chief Ethics and Compliance Officer, and to Enterprise Risk Advisors.
- Serve as a key contact, where appropriate, for Internal Audits, Assessments and Compliance Reviews.
- 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 Enterprise Risk Advisors.
- Identify process improvement opportunities for providing transparent transactional processes to increase the likelihood of consistent ethical behavior of employees at all levels.
- Develop and coordinate compliance training as needed.
- 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
- Attend and participate in global and regional meetings in support of the Caterpillar’s Enterprise Ethics and Compliance Program.
- Coordinate and ensure timely completion of all Corporate Compliance requests including but not limited to: Insider list, Quarterly SEC reporting requests, Annual Data Privacy Assessment, Annual Risk Evaluation process, Corporate Real Estate annual validation projects, etc.
- Provide support and guidance for facility Compliance Councils.
- Bachelor’s degree from an accredited college or university preferably in Accounting or Business
- 10 to 15 years of progressively responsible job-related experience
- 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.
- Prior experience in developing and implementing internal controls or auditing internal controls.
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Caterpillar is an Equal Opportunity Employer (EEO).
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