Business Compliance Analyst I

**Career Area**:Finance**:
**Your Work Shapes the World at Caterpillar Inc.**

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**About Cat Financial**

**JOB SUMMARY**:
Provide regional coordination and support for local Line Unit regulatory and compliance program activities in accordance with Enterprise policies and procedures and applicable local regulatory requirements. Coordinate the required interface and reporting to Cat Financial Compliance Department as well as completion and tracking of all compliance, reporting and regulatory functions for the Line Unit.

**JOB DUTIES AND RESPONSIBILITIES**:

- Coordinate local office compliance processes and reporting to ensure timely and accurate completion including maintaining documentation as required by Enterprise policy and procedure and where appropriate other regulatory authorities.
- Serves as Line Unit coordinator by working with the Cat Financial Compliance Department to implement required compliance Enterprise policies and procedures with respect to Data Privacy, FPD Sanctions, Beneficial Ownership, Know Your Customer, AML, anti-bribery, anti-corruption compliance and other polices and procedures as required.
- Supports corporate communications on Cat Financial compliance initiatives and programs utilizing global communication resources and utilizing local office compliance staff.
- Responsible for quarterly and annual user access audits including, but not limited to, RM Authorities, Credit Systems, AP/PO authorities, shared drive access etc.
- Conducts monthly, quarterly and annual audits including but not limited to modification, post booking and funding audits.
- Works directly with Cat Financial line unit staff and management to evaluate and manage assigned compliance risk areas.
- Responsible for quarterly and annual user access audits including, but not limited to, RM Authorities, Credit Systems, AP/PO authorities, shared drive access etc.
- Provides support for Business Practice Reviews, IAAS and external audits as requested.
- Responsible for Sarbanes-Oxley report tracking, control document updates, standardization of controls and key report validation.
- Reviews and provides recommendations that effectively address control weaknesses.
- Coordinates and performs audit and testing of SOX Controls within Line Unit.
- Represents line unit at Internal Controls Coordinator (ICC) or other compliance related meetings.
- Responsible for quarterly Segregation of Duties (SoD) and Leadership Reporting.
- Coordinates, updates and tracks status of Business Continuity and Disaster Recovery Plans.
- Works with various departments within the Line Unit in the review and maintenance of standard compliance internal control procedures.
- Leads the coordination and support for other Line Unit compliance risks as required.
- May coordinate and/or assist with internal and external auditors as required.

**JOB REQUIREMENTS**:

- Advanced ability to prepare spreadsheets, presentations and reports using applicable software.
- Ability to effectively communicate and interact with various levels of the organization.
- Working knowledge of Enterprise Compliance Policies and Procedures and local compliance and regulatory requirements.
- Deep knowledge of line unit organization and areas of business.
- Demonstrated ability to identify problems and recommend solutions.
- Strong attention to detail, highly organized and demonstrated sense of urgency and follow through.
- Demonstrated ability to effectively present to varying levels of the organization.
- Demonstrates knowledge and ability to research compliance issues.
- Working knowledge of corporate and line unit audit procedures.
- Ability to travel as required.

**EDUCATION/EXPERIENCE**:
A 4-year college or university degree and a minimum of 4 years exempt experience in compliance, finance, audit and/or related discipline is recommended. Equivalent experience may be substituted for education.

Caterpillar is an Equal Opportunity Employer (EEO).

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