- Supports compliance with the enterprise and business division's ethical standards, policies & procedures, applicable laws & regulations, and examines any non-compliance issues, including the evaluation and examination of the adequacy of internal controls
- Act as a compliance officer for the UK, Ireland and Netherland offices for Caterpillar's financial services division.
- Directing and participating in the risk and compliance education of the Northern European region, 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.
- Supporting business in assessing and testing compliance risks and implementing controls to mitigate risks.
- Knowledge of laws and regulations relating to the banking and financial services industry (including FCA consumer credit, anti-money laundering), identify, respond, and take appropriate actions to ensure compliance with financial laws and regulations.
- Knowledge of regulatory environment; ability to help an organization comply with regulations and follow the organization-specific policies, procedures and guidelines, affecting business practices.
- Monitors current market practices to ensure alignment with applicable law and regulations.
- Implements and provides training on specific policies or practices based on laws or regulations and corporate compliance program requirements.
- Cites major financial policies and standards that govern one's own line of financial business.
- Explains the purpose and necessity of regulations, policies, and guidelines
- Recognizes changing demands and priorities; validates changes with management.
- Responds to day-to-day operational priorities while still making progress on project work.
- Strong understanding of effective communication techniques with an ability to appropriately communicate at all levels of the business.
- Ability to apply processes, tools and techniques for assessing and controlling an organization's exposure to compliance risks.
- Knowledge of anti-money laundering, data privacy and financial services regulations.
- Previous experience within a compliance officer or risk manager position or a background in audit or legal.
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Compliance Risk Consultant - Solihull, United Kingdom - Caterpillar
Description
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.
Role Definition:
Responsibilities:
Role Requirements:
Desired experience:
