Regulatory Compliance Analyst

About this role

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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   team   representatives   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.  

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 : Kn

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