Risk & Compliance Senior Associate

Career Area:

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.

Your Impact 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.  Join us.

 Job Summary

We are seeking Risk & Compliance Senior Associate to join Risk MGMT & Compliance -Global Finance Services Division.

The incumbent would ensure compliance with the enterprise and business division's ethical standards and examine any non-compliance issues.

The preference for this role is to be based out of Bangalore, KA & Chennai, TN-India

 What You Will Do

• Facilitate discussions to assess business processes and remediate issues related to processing of personal information.
• Execute quarterly and annual compliance processes including lower tier certification, anti-boycott, and government contract compliance.
• Oversee submission of evidence for Sarbanes-Oxley business process and finance related controls.
• Manage insider trading reporting process.
• Develop tools and metrics to simplify and monitor business process performance.
• Assist in the design and development of standardized dashboards and reports to support business insights and analytics.

 What You Have

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.

• Produce and interpret common risk assessment and management reports.
• Identify common technology, security, or financial risks relevant to own function or unit.
• Document the key steps of a unit-specific risk management process and associated procedures.
• Evaluate risk assessment models and techniques relevant to a specific line of business.

Accuracy and Attention to Detail: Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.

• Accurately gauge the impact and cost of errors, omissions, and oversights.

• Utilize specific approaches and tools for checking and cross-checking outputs.

• Process limited amounts of detailed information with good accuracy.

• Develop and uses checklists to ensure that information goes out error-free.

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.

• Approach a situation or problem by defining the problem or issue and determining its significance.

• Make a systematic comparison of two or more alternative solutions.

• Use 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. Work across global time zones.

• Deliver helpful feedback that focuses on behaviors without offending the recipient.

• Make oral presentations and writes reports needed for own work.

• Look for and consider non-verbal cues from individuals and groups.

Problem Solving: Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply knowledge of problem solving appropriately to diverse situations.

• Identify and document specific problems and resolution alternatives.

• Examine a specific problem and understands the perspective of each involved stakeholder.

• Develop alternative techniques for assessing accuracy and relevance of information.

• Help to analyze risks and benefits of alternative approaches and obtain decision on resolution.

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.

• Identify the basic tools used by A&C professionals.

• Describe the major tasks and responsibilities of the A&C function.

• Explain the role and contribution of the A&C function.

• Clarify the role of technology in 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.

• Detect and summarize patterns in data and findings by producing simple reports.

• Assess common problems and obstacles surrounding data-gathering.

• Customize data fields to meet clients' needs.

• Interpret and explain results of a data-gathering initiative.

Top candidates will also have

• Degree or equivalent experience desired
• Proficiency with Microsoft 365 suite (Sharepoint, Power BI, Power Apps) is desired to lead the development and deployment of automation and business insights initiatives across the segment.  

Additional Information

• This position requires working onsite five days a week
• This role requires a high degree of flexibility in scheduling to effectively collaborate across multiple time zones. The ability to adapt working hours to work with global teams, attend cross-regional meetings, and respond to time-sensitive needs is essential.
• Caterpillar is not currently hiring individuals for this position who now or in the future require sponsorship for employment visa status; however, as a global company, Caterpillar offers many job opportunities outside of Singapore which can be found through our employment website at

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

Posting Dates:

Caterpillar is an Equal Opportunity Employer.  Qualified applicants of any age are encouraged to apply

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