COMPLIANCE DIRECTOR

*Career Area:*

Legal and Compliance

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*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.

*About Us:*

Caterpillar Inc. is the worlds 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, weve 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.

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Leads in organizing, developing, maintaining, and adjusting compliance programs for the enterprise.

*Responsibilities:*

Develop, implement, and monitor compliance and ethics initiatives of the division, segment, or enterprise and providing guidance for the management team on matters relating to compliance.

Lead and/or assist with the identification of relevant compliance issues within the organization in terms of both applicable policies and procedures and instances where adherence to those policies and procedures may be compromised.

Develop, initiate and revise policies and procedures for the general operation of the business units/segments compliance program and its related activities.

Develops and reviews compliance program data and metrics and maintains relationships with business partners.

Identify potential areas of compliance vulnerability and risk; developing corrective action plans for resolution of problematic issues and providing general guidance on how to avoid or deal with similar situations in the future.

*What You Will Do:*

? *Industry Awareness:* Keeps the organization informed of evolving ESG-related regulations and standards and ensures Caterpillars policies and practices adhere to those requirements.

*Leadership and Strategy* : Guide and influence procurement & supply chain on ESG data collection strategy and priorities. Ensures the accurate collection, analysis, and reporting of ESG data to internal and external stakeholders, leveraging technology and data analytics to drive informed decision-making.

*Team Management* : Oversee and develop ESG team members; ensure alignment with organizational goals.

*Training and Development* : Implement training programs to increase ESG awareness and capabilities across the organization and with external partners.

*ESG Strategy Development* : Design and execute ESG strategies aligned with business goals and stakeholder expectations.

*Policy Creation* : Develop and update ESG-related policies and procedures to ensure compliance and best practices.

*Reporting and Disclosure* : Ensures the accurate collection, analysis, and reporting of ESG data to internal and external stakeholders, leveraging technology and data analytics to drive informed decision-making.

*Performance Monitoring* : Establish and track key performance indicators (KPIs) to measure and report on ESG performance.

*Risk Management* : Identify and assess ESG-related risks and opportunities that could impact Caterpillars operations and reputation. Develop strategies to mitigate these risks.

*Data Management Systems* : Use ESG data management and analytics tools to collect, analyze, and report on ESG metrics.

*Reporting Software* : Utilize software for ESG reporting and compliance, including platforms that support data visualization and stakeholder communication.

*Benchmarking Tools* : Implement tools for comparing ESG performance against industry standards and peers.

*Engagement Platforms* : Use platforms for stakeholder engagement and communication, including surveys and feedback tools.

*Skill Descriptors:*

*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.

Monitors industry and marketplace experience for developments and best practices re risk.

Leads the implementation of enterprise-wide risk management programs.

Consults on matching risks and risk management tools, processes and benchmarks.

Elaborates on specific high risk threats and potential impact on the organization.

Explores Internet and e-commerce considerations and their effect on current business risks.

Leads discussions on geographical, technological, and social issues associated with risk management.

*Decision Making and Critical Thinking:*

Knowledge of the decision-making process and associated tools and techniques; ability to accurately analyze situations and reach productive decisions based on informed judgment.

Analyzes and discusses alternatives with multiple stakeholders.

Monitors developments in critical-thinking and decision-making models for potential use by organization.

Coaches others in decision-making models, processes, and practices.

Anticipates special issues and considerations for effective decision-making during a crisis.

Shares experiences regarding optimal timing and circumstances for refraining from or making decisions.

Differentiates between content and context of a decision.

*Influencing:*

Knowledge of effective influencing tactics and strategies; ability to impact decisions within and outside own organization.

Defines strategies and plans for influencing multiple decision makers.

Debates issues to bring the most critical points to the forefront for decision making.

Gains acceptance of ideas and suggestions from senior business executives.

Coaches others on effective influencing strategies and tactics.

Influences high-impact, high-risk and highly complex situations.

Demonstrates ability to influence at all levels of the organization.

*Strategic Thinking:*

Knowledge of the importance of big picture thinking and planning; ability to apply organizational acumen and competitiveness to identify and maintain focus on key success factors for the organization.

Directs strategic alliances and partnerships for mutual benefit.

Makes sound business decisions on behalf of the group when faced with complex and contradictory alternatives.

Builds the strategic thinking capability of the group.

Interprets available data and analyses when creating business plans.

Recommends ways to position the organization for long-term competitiveness.

Prepares the group's response to key marketplace trends.