Risk & Compliance Manager_

Irving

**Career Area:**

Legal and Compliance

**Job Description:**

**Your Work Shapes the World at Caterpillar Inc.**

When you join Caterpillar, you're joining a global team who cares not just about the work we do – but also about each other. We are the makers, problem solvers, and future world builders who are creating stronger, more sustainable communities. We don't just talk about progress and innovation here – we make it happen, with our customers, where we work and live. Together, we are building a better world, so we can all enjoy living in it.

**Role Definition**

Oversees day-to-day operations of the divisional ethics and compliance, legal & regulatory functions. These include ensuring and improving divisional compliance with the following:

+ Sarbanes-Oxley,

+ Anti-bribery,

+ Fair Competition,

+ Data Privacy and

+ Government Contracts requirements.

**Responsibilities**

+ Developing and implementing strategies for all activities regarding compliant business conduct and ethical relationship standards.

+ Overseeing development of relevant programs to ensure compliance and reduce risk, including required learning.

+ Providing advice and interpretation of Our Values In Action, including corporate policies and procedures.

+ Identifying potential risk and compliance vulnerabilities; developing corresponding corrective action plans for resolution of these issues and providing guidance for use in future situations.

+ Overseeing internal audit and assessment activities relative to legal & regulatory risk areas specific to the division the role supports.

+ Maintaining and managing the divisional compliance SharePoint site.

+ Supervising a team of compliance professionals.

**Education/Experience**

Bachelors degree or equivalent experience in accounting or finance

**Skill Descriptors**

**Business Ethics** : Knowledge of practices, behaviors, applicable laws, rules, and regulations governing proper business conduct; ability to demonstrate ethical behavior in diverse situations.

**Level Extensive Experience:**

+ Participates in investigating, documenting, and addressing allegedly unethical behavior.

+ Resolves legal and business consequences of a breach of ethics.

+ Applies policies and procedures designed to ensure compliance with ethical code.

+ Deals with a variety of potential ethical conflicts in various business situations.

+ Uses local, state, and federal legislation and guidelines, along with divisional leadership, for managing business conduct.

**Issues Management and Remediation** : Knowledge of techniques and processes for issues management and remediation; ability to identify root cause, and corrective actions in a timely manner.

**Level Extensive Experience:**

+ Designs and implements control measures to ensure adherence to the policies, standards, and procedures.

+ Evaluates key controls and establishes control assessments and corresponding metrics to determine design and operating effectiveness.

+ Manages identified deficiencies and the status of remediation efforts.

+ Oversees resolution of exceptions that have been raised or escalated.

+ Provides accurate, concise, and timely risk assessments to divisional leadership.

+ Develops and implements action plans in the event of a risk trigger or appetite breach.

**Risk Management:** Knowledge of processes, tools, and techniques for assessing and controlling an organization's exposure to risks of various kinds; ability to apply knowledge of risk management appropriately to diverse situations.

**Level Extensive Experience:**

+ Debates the pros and cons of various risk management models.

+ Implements function-wide risk management processes and tools.

+ Designs cross-functional risk management processes, tools, and audit mechanisms.

+ Measures key benefits and drawbacks for specific risk management practices.

+ Relates risk assessment models and analysis tools and processes to own business.

+ Establishes key business-specific risk management benchmarks.

**Analytical Thinking:** Knowledge of techniques and tools that promote effective analysis; ability to determine the root cause of organizational problems and create alternative solutions that resolve these problems.

**Level Extensive Experience:**

+ Seeks discrepancies and inconsistencies in available information; explains variances.

+ Organizes and prioritizes the sequence of steps to be taken to remedy the situation.

+ Identifies many possible causes for a problem based on prior experience and current research.

+ Quantifies the costs, benefits, risks, and chances for success before recommending a course of action.

+ Approaches a complex problem by breaking it down into its component parts.

+ Chooses among a diverse set of analytical tools according to the nature of the situation.

**Effective Communications:** Understanding of effective communication concepts, tools, and techniques; ability to effectively transmit, receive, and accurately interpret ideas, information, and needs through the application of appropriate communication behaviors.

**Level Extensive Experience:**

+ Reviews others' writing or presentations and provides feedback and coaching.

+ Adapts documents and presentations for the intended audience.

+ Demonstrates both empathy and assertiveness when communicating a need or defending a position.

+ Communicates well downward, upward, and outward.

+ Employs appropriate methods of persuasion when soliciting agreement.

+ Maintains focus on the topic at hand.

**Relationship Management:** Knowledge of relationship management techniques; ability to establish and maintain healthy working relationships with clients, vendors, and peers.

**Level Extensive Experience:**

+ Communicates clearly to all parties regarding expectations.

+ Conducts periodic reviews of work effort, progress, issues, and successes.

+ Maintains productive, long-term relationships with customers and partners.

+ Creates opportunities to educate support teams on priorities.

+ Empowers others to establish collaborative, healthy relationships.

**Managing People:** Knowledge of processes involved in managing people; ability to lead successful teams, and diligently address issues related to performance and conflicts at the workplace.

**Level Extensive Experience:**

+ Anticipates and manages difficult interpersonal situations and conflicts; resolves them to mutual satisfaction.

+ Consults within the team; seeks inputs from subordinates and considers all views while making decisions.

+ Implements coaching and mentoring programs to ensure the holistic development of employees.

+ Monitors employee morale and satisfaction; recognizes employee contributions and achievements.

+ Regularly reviews employee performance and provides constructive feedback.

+ Works collaboratively with people from diverse backgrounds; understands their needs and perspectives.

**Audit and Compliance Function:** Knowledge of major responsibilities and tasks of Audit and Compliance (A&C) function; ability to manage the operation of A&C function in various business environment.

**Level Extensive Experience:**

+ Manages one or more A&C functions or units.

+ Facilitates compliance-related business process implementation or improvement initiatives.

+ Contributes to development of A&C strategies and plans.

+ Improves key relationships and dependencies among Audit, IT, and other business functions.

+ Contributes to the establishment of best practices for A&C.

**About Caterpillar**

Caterpillar Inc. is the world’s leading manufacturer of construction and mining equipment, off-highway diesel and natural gas engines, industrial gas turbines and diesel-electric locomotives. For nearly 100 years, we’ve been helping customers build a better, more sustainable world and are committed and contributing to a reduced-carbon future. Our innovative products and services, backed by our global dealer network, provide exceptional value that helps customers succeed.

**Additional Information:**

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 .

**Employee benefit details:**

Our goal at Caterpillar is for you to have a rewarding career. Our teams are critical to the success of our customers who build a better world.

Here you earn more than just an hourly wage, because we value your performance, we offer a total rewards package that provides day one benefits (medical, dental, vision, RX, and 401K) along with a yearly STIP bonus.

Additional benefits include paid vacation days and paid holidays (prorated based upon hire date).

**Final details:**

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.

\#LI

**Posting Dates:**

June 27, 2024 - July 4, 2024

Any offer of employment is conditioned upon the successful completion of a drug screen.

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

Not ready to apply? Join our Talent Community (eamery.com/caterpillarinc/talcom) .

There’s more to work at Caterpillar than just the work itself. We hire smart, friendly people and it shows in our culture. We hold ourselves to high standards and make sure our values of integrity, excellence, teamwork, commitment and sustainability come to life in the way we work. We make sure our employees feel continuously challenged while also supported. We provide professional growth opportunities, including leadership programs. We celebrate the diversity of our team, while also working together as one Caterpillar.

Our culture, like everything at our company, is made possible by each employee’s contribution. Person by person, we create the environment we work in, and we are proud of the Caterpillar we’ve built.