Senior Director Compliance

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 Work Shapes the World at Caterpillar Inc. Our common values and focus on inclusion and respect drive the decisions made by our company, teams and people. This is why we are committed to hiring and building diverse teams representative of the customers we serve globally. When you join our team, you can apply your unique life and job experiences and work in an environment where your ideas are heard, your contributions are celebrated, and your whole-self matters. 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 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. The role: Lead Cat Financial’s global Ethics and Compliance Program, establishing strategy, governance, and oversight to ensure compliance with regulatory requirements, enterprise standards, and business objectives. Advises executive leadership on compliance and regulatory risk, oversees key risk areas including AML, anti‑bribery, data privacy, sanctions, export controls, and regulatory reporting, and drives effective policies, controls, investigations, and remediation efforts. Working across the enterprise, strengthen risk governance, support informed decision‑making, and promote a culture of ethics, integrity, and accountability while ensuring compliance risks are proactively identified, managed, and reported. What You Will Do: Strategy & Program Leadership Set and own the global compliance strategy, aligning the Ethics and Compliance Program with evolving regulations, Cat Financial’s priorities, and its customer‑centric growth agenda. Direct the program across compliance risk areas, including AML, bribery, data privacy, fair competition, export controls, regulatory reporting, sanctions, and conflicts of interest. Sponsor global compliance initiatives and risk governance capabilities that strengthen how compliance risk is identified, monitored, managed, and reported. Align Cat Financial’s compliance program with enterprise compliance priorities, standards, and expectations while ensuring business‑specific risks and regulatory obligations are represented in enterprise planning. Advisory & Risk Oversight Advise senior management on global compliance risk, providing recommendations to ensure risks are managed, measured, monitored, and properly reported. Serve as a trusted compliance advisor by interpreting requirements, balancing legal, reputational, and security considerations, and enabling defensible decisions. Lead responses to critical issues, including internal investigations, regulator inquiries, and remediation through closure. Policy, Controls & Governance Oversee compliance policies, procedures, controls, and standards across regional and global risk management processes. Ensure control effectiveness is documented and measurable through control mapping, audit remediation, and regulatory change management. Govern regulatory reporting and licensing obligations across legal entities and cross‑border lending. Manage the FPD Risk Governance Framework, facilitate the Risk Committee, chair the Global Risk Subcommittee, oversee issue escalation, and assess applicable risks. What You Will Bring: Essential Experience Significant experience leading enterprise compliance programs within financial services or other highly regulated industries, with deep expertise across AML/KYC, anti‑bribery and corruption, fraud, data privacy, sanctions, export controls, and competition law. Proven success leading global or multi‑regional compliance, legal, or risk functions, including building high‑performing teams, influencing senior stakeholders, and driving cross‑functional initiatives. Demonstrated track record of enhancing and modernizing compliance programs through process improvement, technology enablement, control design, regulatory engagement, and audit management. Experience partnering with regulators, auditors, executive leadership, and business stakeholders to address complex compliance challenges and deliver sustainable risk management outcomes. Leadership Qualities Exercises sound, risk‑based judgment in complex and ambiguous situations, balancing business objectives with regulatory and ethical requirements. Influences and communicates effectively at the executive level, building credibility and driving alignment across diverse stakeholder groups. Strategic thinker who connects compliance priorities to business goals, customer outcomes, and enterprise risk management objectives. Inspiring people leader with a passion for developing talent, fostering collaboration, and building an inclusive, high‑performing team culture. Proven change agent with experience driving transformation, standardization, automation, and continuous improvement within a global, matrixed organization. Exceptional communicator, capable of translating complex regulatory and compliance concepts into clear, actionable guidance for audiences ranging from executive committees to frontline teams. Additional Information: This position requires the successful candidate to work full time, 5 days per week in the Nashville main office. Compensation & Benefits: Summary Pay Range: $185,808.00 - $297,300.00 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: 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. This position requires working onsite five days a week. Relocation is available for this position. Visa Sponsorship is not available for this position. Any offer of employment is conditioned upon the successful completion of a drug screen. Caterpillar is an Equal Opportunity Employer, Including Veterans and Individuals with Disabilities. Qualified applicants of any age are encouraged to apply. There’s more to work at Caterpillar than just the work itself. We hire smart, friendly people and it shows in our culture. We hold ourselves to high standards and make sure our values of integrity, excellence, teamwork, commitment and sustainability come to life in the way we work. We make sure our employees feel continuously challenged while also supported. We provide professional growth opportunities, including leadership programs. We celebrate the diversity of our team, while also working together as one Caterpillar. Our culture, like everything at our company, is made possible by each employee’s contribution. Person by person, we create the environment we work in, and we are proud of the Caterpillar we’ve built. #J-18808-Ljbffr Caterpillar Brazil