Senior Director Compliance

Caterpillar•Nashville, TN

4d•Onsite

About The Position

This role leads Cat Financial’s global Ethics and Compliance Program, establishing strategy, governance, and oversight to ensure compliance with regulatory requirements, enterprise standards, and business objectives. The position 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, the role strengthens risk governance, supports informed decision-making, and promotes a culture of ethics, integrity, and accountability while ensuring compliance risks are proactively identified, managed, and reported.

Requirements

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.
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.

Responsibilities

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.
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.
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.