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Risk and Compliance Program Lead

Location: Aberdeen, United Kingdom
Date Posted: Apr 6, 2021
Closing Date: Apr 22, 2021

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Additional Functional Areas

Job Description:

SPM Oil & Gas, A Caterpillar Company, headquartered near Fort Worth, Texas, produces a full line of pumps, flow iron, consumable parts, wellhead and pressure control products that are offered via an extensive global network of service centers. SPM Oil & Gas is focused on our strategy of providing our customers expanded offerings and services which will now be one of the broadest in the well service industry.

Job Purpose:  To provide leadership and support on SPM’s Anti-bribery Compliance Program, including onboarding and administration associated with Third Party Intermediaries (TPIs), or entities who are expected to act on behalf of the company with respect to non-U.S. Government Officials.

Job Duties:

  • Coordination of the due diligence process for all of SPM’s Third Party Intermediaries (TPIs) and Distribution Third Party Intermediaries (DTPIs) in accordance with Enterprise Procedure 6:32.
  • Perform ongoing monitoring and facilitation of annual recertifications and rescreening due diligence as outlined in Caterpillar’s Anti-bribery policy.
  • Provide support on other anti-bribery compliance requirements related to Travel, Gifts & Entertainment (TG&E); Large Scale Events; Visa Invitation Letters; etc.
  • Provide support to leaders in fostering and enhancing a values-based culture.
  • 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 with the Risk & Compliance Manager to ensure effective, efficient, and compliant business processes, annual action plans and metrics for the Division.  
  • Establish and maintain strong partnering relationships with risk owners in Caterpillar’s Ethics & Compliance Program; develop and maintain a close working relationship and coordination with the Office of Business Practices.
  • Assist in 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 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.
  • Assist the Risk & Compliance Manager along with the HR Department to ensure completion of required Ethics & Compliance training (Annual Assessment & Questionnaire, required, job role, leadership) within the Division. 
  • Contribute to the timely completion of any applicable remediation plans to correct the issues identified through the course of a compliance audit, assessment or OBP investigation. 
  • Support the implementation of Enterprise policies and procedures. 
  • Develop relationships with the appropriate departments to ensure clear and effective implementation of policies.
  • Coordinate with Risk & Compliance Manager 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.  Contribute content for reports to senior leaders, to the Office of Business Practices and to Risk Owners as required.
  • 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 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.
  • Assist with other functions designated from time to time that support 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 & Compliance Program.


  • Bachelor’s degree, preferably in Accounting, Finance, Audit, Risk Management, Business, Logistics or a related field.
  • Incumbents have usually gained 4 to 6 years of compliance experience and are able to perform complex assignments. 

Desired Qualifications:

  • Compliance Certification
  • Strong analytical skills
  • Strong planning and organizational skills
  • Excellent interpersonal and communication skills
  • Ability to work well within a diverse group environment
  • Sound decision making skills and proactive problem-solving abilities
  • Requires a self-starter with strong technical leadership skills. 

At Caterpillar we embrace and promote diversity, we encourage our people to be themselves, this is a place where we succeed on merit.  

Please do not hesitate to apply if you feel you have the relevant skills and experience for the role.

Caterpillar is an Equal Opportunity Employer (EEO).

Not ready to apply? Submit your information to our Talent Network here.

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Job Info

Apr 6, 2021


United Kingdom

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