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Risk & Compliance Senior Associate

Location Peterborough, United Kingdom
Date Posted
Contract Type Full time
Job Type Regular
Requisition ID R0000095978

Career Area:


Job Description:

Job Title: Risk & Compliance Senior Associate

Positions: Two vacancies (Export Controls & Third Party Intermediary Coordinator)

Salary: £36,072 - £38,958

Location : Peterborough

Benefits:  25 days annual leave,    

                 10% bonus

                 Contributory pension scheme- Caterpillar will double the employee's contribution Up to 10%

                 Contributory share scheme- Caterpillar will matched 50% of the employee's contribution

                 CAT Advantage

Flexible working arrangements will be considered for this role, in-line with the needs of the business. 

Who is Caterpillar? What do we do?

Caterpillar is a world leader in construction and mining equipment—creating innovative, cutting-edge products and services that help our customers build the world around us. With that level of impact comes the platform to care for the world, we work in. That’s why we lead sustainable green initiatives to preserve the environment, help reduce poverty with the Caterpillar Foundation and stay involved in the communities we help build.

What will Caterpillar do for you?

From day one, you’re set up to thrive at Caterpillar: helpful training, relatable mentors, global experience, competitive salary package, work-life balance and the growth opportunities you expect with a Fortune 100 company. You power our success, and we are committed to empowering yours. After all, when your work can impact the entire world, it’s important to do work that matters.

Job Opportunities:

Two exciting opportunities have become available within the Risk & Compliance Team , which focuses on mitigation of regulatory risks through application of the Caterpillar Compliance Risk Model. 

A Third-Party Intermediary (TPI) Coordinator/ Risk & Compliance Senior Associate will act as the primary SME on all aspects of the TPI programme. This includes performing ongoing due diligence of Caterpillar third parties, working collaboratively with members of the Legal and Compliance community and wider Sales teams, to minimise risk associated with entities or individuals. A secondary element of this role will see you support the business with project work relating to additional compliance responsibilities. You will play an important role in ensuring ongoing regulatory compliance of our business globally, to fulfil our internal and external customer requirements.

In addition to this role, an Export Controls Risk & Compliance Senior Associate will be a main point of contact and process coordinator, for several business-critical export control programme activities. You will be the point of contact for the business on matters arising which relate to these assigned export control processes, providing guidance as required. As well as working collaboratively with various members of the Enterprise Compliance community, you will also need to work with the wider Sales team, and other functional areas, to ensure ongoing regulatory compliance of our business globally.

Job Responsibilities and Duties:

Expected job responsibilities can be seen below, and would include but is not limited to:

TPI Coordinator / Risk & Compliance Senior Associate:

  • Supporting all aspects of the TPI compliance programme, including ongoing monitoring, and liaising with other functional areas to ensure effective management of TPIs.

  • Resolution of compliance issues arising in relation to TPIs (e.g.  Anti-Bribery and Corruption; Anti-Trust/Competition regulations); liaising with Legal Compliance when required; supporting/collaborating on onboarding decisions.

  • Primary point of contact/SME for all TPI related compliance, providing advice and guidance to stakeholders as appropriate.

  • Supporting Second Level Dealers (SLDs) onboarding process as part of the TPI programme; acting as an approver within the ‘Second Level Registration/Management Process’, primarily via Salesforce.

  • Conducting ongoing governance / review meetings relating to TPI Programme, ensuring visibility of the programme status to Compliance team management and other relevant stakeholders.

  • Supporting Distributor Outreach/Distributor Excellence activities.

  • Participate in internal reviews with regards to other ad hoc arising compliance-related issues.

  • Development/delivery of relevant compliance communications and training interventions, as required.

  • Support of any other compliance projects, working with other team members as assigned.

Export Controls Risk & Compliance Senior Associate:

  • Conduct and support product & parts Export Controls classification/ECCN process and related system tasks, working with existing Business SMEs, & including liaison with Enterprise Trade Centre of Excellence (TCOE).

  • Conduct appropriate screening of potential business partners, customers, and other Third Parties as required.

  • Provide advice to the business on limited-risk matters relating to Embargoed & Sanctioned Countries as required, including providing guidance on associated transaction intake and approval processes, under the guidance of the IPSD Export Controls Program Manager.

  • Support compliance process audits, and other internal/external audits as required.

  • Undertake the implementation of any new Business export control policies and procedures under the guidance of the Export Controls Program Manager.

  • Providing support/resolution to stakeholders on SPL (Sanctioned Party Listing) screening issues arising via ERP/QAD EE

  • Processing compliance review/approvals (inc. screening) for the Customer Warranty claim process/system

  • Ensure that relevant policies, procedures, and contact details are reviewed and updated in coordination with Export Controls Program Manager guidance.

  • Assist with development of and provide appropriate communications and training interventions on relevant compliance matters, as required.

  • Support of any other compliance projects, working with other team members as assigned.

Skills and Experience:

Candidates will have gained the following skills and experience through previous roles:

  • Previous experience working in a relevant compliance related role, and/or other functional role where liaising closely on compliance matters is required

  • Strong administrative, organizational, and analytical skills.

  • Excellent communication and interpersonal skills, personal accountability, and strong initiative.

  • Ability to communicate technical information effectively.

  • Ability to work collaboratively within a team.

  • Ability to work independently, flexibly and manage multiple project areas simultaneously to defined timelines.

  • Strong MS Office knowledge & skills (in particular, Excel, PowerPoint & SharePoint)

Candidates may have gained the following skills and experience through previous roles:

  • Previous experience working in a compliance role which includes Export Control Programme and/or TPI programme support responsibilities

  • Previous Paralegal experience would be desirable in relation to the TPI Coordinator position

  • Knowledge of relevant systems, e.g., MFG Pro/QAD EE; SAP/GTS

  • Experience using other Company compliance systems or screening tools e.g., Kroll, Visual Compliance

  • Knowledge of / experience of using continuous process improvement activities/methodologies

NB. The panel cannot make assumptions when shortlisting therefore please demonstrate your qualifications and experience on your CV relevant to the criteria outlined.

Pending the number of applications, the criteria for the position may be enhanced to facilitate shortlisting.

Caterpillar is an Equal Opportunity Employer (EEO).

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