Regulatory Compliance Analyst

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.

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.

• 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.

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

• 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.
• 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.

• 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.
• 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.

• Understanding the necessity and value of accuracy; ability to complete tasks with high levels of precision.
• 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.

• 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.
• 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.

• Knowledge of approaches, tools, techniques for recognizing,…