**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. Updated: 08/21/2023 Role Definition Ensure compliance with the enterprise and business division's ethical standards and examines any non-compliance issues, including the evaluation and examination of the adequacy of internal controls Responsibilities • Designing and implementing daily procedures and reviewing/assessing activities against internal control standards. • Directing and participating in the risk and compliance education of the organization, ensuring ongoing and follow up education including regulations, policies, procedures and trends. • Developing, initiating and revising policies and procedures for the general operation of the business unit's compliance program and its related activities. • Identifying potential risk and compliance vulnerabilities; developing corresponding corrective action plans for resolution of these issues and providing guidance for use in future situations. Degree Requirement Degree or equivalent experience desired Skill Descriptors Process Management: Knowledge of business process improvement tools and techniques; ability to understand, monitor, update, control, or enhance existing business or work processes. Level Extensive Experience: • Helps others learn the tools and techniques for process value analysis. • Carries out process evaluation, diagnosis, and optimization. • Demonstrates a thorough understanding of a major process flow, its components and issues. • Synchronizes the efforts of, and resource requirements for, several teams within a process. • Makes the business case for new processes, including their cost-benefit ratios. • Possesses knowledge of tools and techniques for designing and implementing new processes. 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 Working Knowledge: • Approaches a situation or problem by defining the problem or issue and determining its significance. • Makes a systematic comparison of two or more alternative solutions. • Uses flow charts, Pareto charts, fish diagrams, etc. to disclose meaningful data patterns. • Identifies the major forces, events and people impacting and impacted by the situation at hand. • Uses logic and intuition to make inferences about the meaning of the data and arrive at conclusions. 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 Working Knowledge: • Delivers helpful feedback that focuses on behaviors without offending the recipient. • Listens to feedback without defensiveness and uses it for own communication effectiveness. • Makes oral presentations and writes reports needed for own work. • Avoids technical jargon when inappropriate. • Looks for and considers non-verbal cues from individuals and groups. Relationship Management: Knowledge of relationship management techniques; ability to establish and maintain healthy working relationships with clients, vendors, and peers. Level Extensive Experience: • Communicates to clients regarding expectations of all parties. • Participates in negotiating the terms of the business relationship. • Conducts periodic reviews of work effort, progress, issues, and successes. • Maintains productive, long-term relationships with clients or vendors. • Creates opportunities to educate support teams on client priorities. • Empowers others to establish collaborative, healthy relationships. Project Management: Knowledge of effective project management strategies and tactics; ability to plan, organize, monitor, and control projects, ensuring efficient utilization of technical and administrative resources to achieve project objectives. Level Extensive Experience: • Utilizes preferred tools, techniques and methods for estimating project cost and time. • Plans, estimates, staffs, organizes and monitors significant projects. • Identifies risks and vulnerabilities; creates contingency plans. • Conducts regular and ad-hoc project reviews with project team, sponsors, and clients. • Maintains open communication among project participants and interested parties. • Communicates reporting requirements; creates monitoring and control mechanisms. 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. • Implements specific organizational changes made in response to the Sarbanes-Oxley Act. • 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. Data Gathering and Reporting: Knowledge of tools, techniques and processes for gathering and reporting data; ability to practice them in a particular department or division of a company. Level Extensive Experience: • Prepares cost-benefit analyses of alternative approaches. • Analyzes complex reports as revealed by the data. • Teaches others the calculations necessary to capture data and develop more complex reports. • Oversees multiple data-gathering and analysis initiatives. • Participates in developing criteria for selecting data gathering and reporting tools and techniques for various projects. • Reviews and verifies data and reports for accuracy. This Job Description is intended as a general guide to the job duties for this position and is intended for the purpose of establishing the specific salary grade. It is not designed to contain or be interpreted as an exhaustive summary of all responsibilities, duties and effort required of employees assigned to this job. At the discretion of management, this description may be changed at any time to address the evolving needs of the organization. It is expressly not intended to be a comprehensive list of “essential job functions” as that term is defined by the Americans with Disabilities Act. **Posting Dates:** Juni 25, 2025 - Juli 5, 2025 Caterpillar is an Equal Opportunity Employer. Not ready to apply? Join our Talent Community (http://flows.beamery.com/caterpillarinc/talcom) .