Regulatory Compliance Analyst

Your Work Shapes the World at Caterpillar Inc.

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About Cat Financial

Cat Financial is a subsidiary of Caterpillar Inc., 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 more than 40 years, Cat Financial has provided a wide range of financing solutions to customers and Cat® dealers for machines, engines, Solar® gas turbines, genuine Cat parts and services. Headquartered in Nashville, Tennessee, Cat Financial serves customers globally with offices and subsidiaries located throughout North and South America, Asia, Australia, Europe and Africa. Visit cat.com to learn more about Cat Financial.

Role Definition
Assist in research, coordinate, plan and comply with state regulatory requirements in the U.S. for the Caterpillar Insurance Company and insurance affiliates related to rates, forms, other filings, and producer licensing.

Responsibilities
• Perform tasks related to insurance filing and producer licensing and insurance regulation documentation.
• Coordinate communications related to compliance issues and regulatory changes related to producer licensing and filings.
• Assist in the review, research, and interpret new statutes, regulations, and bulletins from various insurance regulatory agencies.
• Recommend new processes and changes to current procedures.

Skills Descriptors

Business Ethics: Knowledge of practices, behaviors, applicable laws, rules, and regulations governing proper business conduct; ability to demonstrate ethical behavior in diverse situations.

Level Working Knowledge:
• Documents the ethical considerations involved in carrying out business activities.
• Participates in resolving issues involving business ethics.
• Describes several types of issues covered by organizational code of ethics.
• Follows procedures for reporting violations, investigating breaches and taking disciplinary actions.
• Describes potential rewards of ethical behavior and consequences of unethical behavior.

Information Capture: Knowledge of the methods, channels and processes to obtain needed information; ability to identify, capture and document relevant business information in an auditable, organized, understandable and easily retrievable manner.

Level Basic Understanding:
• Identifies information capture needs in own area.
• Describes key benefits, drawbacks and rationale for documenting relevant information.
• Provides examples of the risks associated with failing to record relevant information.
• Explains organizational methods for documenting, identifying and recording information.

Standard Operating Procedures: Knowledge of established standard operating procedures (SOP); ability to design, implement and evaluate standard operating procedures affecting daily and strategic business operations in order to increase operational efficiency.

Level Basic Understanding:
• Compiles current research relevant to standard operating procedures.
• Explains usage of standard operating procedures in business operations.
• Describes main issues and considerations when using standard operating procedures.
• Identifies key features and functions of standard operating procedures.

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

Level Working Knowledge:
• Accurately gauges the impact and cost of errors, omissions, and oversights.
• Utilizes specific approaches and tools for checking and cross-checking outputs.
• Processes limited amounts of detailed information with good accuracy.
• Learns from mistakes and applies lessons learned.
• Develops and uses checklists to ensure that information goes out error-free.

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.

Level Working Knowledge:
• Delivers helpful feedback that focuses on behaviors without offending the recipient.
• Listens to feedback without defensiveness and uses it for own communication effectiveness.
• Makes oral presentations and writes reports needed for own work.
• Avoids technical jargon when inappropriate.
• Looks for and considers 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.

Level Working Knowledge:
• Identifies and documents specific problems and resolution alternatives.
• Examines a specific problem and understands the perspective of each involved stakeholder.
• Develops alternative techniques for assessing accuracy and relevance of information.
• Helps to analyze risks and benefits of alternative approaches and obtain decision on resolution.
• Uses fact-finding techniques and diagnostic tools to identify problems.

Relationship Management: Knowledge of relationship management techniques; ability to establish and maintain healthy working relationships with clients, vendors, and peers.

Level Basic Understanding:
• Provides examples of the characteristics of effective business relationships.
• Identifies key business relationships in own organization.
• Describes the nature of a productive business relationship.
• Explains the benefits of building business partnerships.

Compensation & Benefits:

Summary Pay Range:

$74,124.00 - $118,608.00

Compensation and benefits offered may vary depending on multiple individualized factors, job level, market location, job-related knowledge, skills, individual performance, and experience. Please note that salary is only one component of total compensation at Caterpillar.

Benefits:

Subject to plan eligibility, terms, and guidelines. This is a summary of the benefits.

• Medical, dental, and vision benefits*

• Paid time off plan (Vacation, Holidays, Volunteer, etc.) *

• 401(k) savings plans*

• Health Savings Account (HSA)*

• Flexible Spending Accounts (FSAs)*

• Health Lifestyle Programs*

• Employee Assistance Program*

• Voluntary Benefits and Employee Discounts*

• Career Development*

• Incentive bonus*

• Disability benefits

• Life Insurance

• Parental leave

• Adoption benefits

• Tuition Reimbursement

* These benefits also apply to part-time employees

This Job Description is intended as a general guide to the job duties for this position and is intended for the purpose of establishing the specific salary grade. It is not designed to contain or be interpreted as an exhaustive summary of all responsibilities, duties and effort required of employees assigned to this job. At the discretion of management, this description may be changed at any time to address the evolving needs of the organization. It is expressly not intended to be a comprehensive list of “essential job functions” as that term is defined by the Americans with Disabilities Act.