Career Area:

Legal and Compliance:

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 Impact 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.

About Caterpillar

Caterpillar Inc. is 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 nearly 100 years, we’ve been helping customers build a better, more sustainable world and are committed and contributing to a reduced-carbon future. Our innovative products and services, backed by our global dealer network, provide exceptional value that helps customers succeed.

Job Summary

We are seeking a skilled Risk & Compliance Senior Associate to join GLBL Bus Svcs IC-Bangalore-Global Finance Services Division.

The incumbent would be responsible for supporting the Sarbanes‑Oxley (SOX) compliance, Internal Financial Control (IFC) program by ensuring adherence to enterprise and business unit policies, internal financial control requirements, and applicable regulatory standards. The position will assist in identifying, assessing, and remediating control gaps and will contribute to the continuous strengthening of the internal control environment.

The preference for this role is to be based out of Bangalore Whitefield Office, KA -India

What you will do

• Perform SOX compliance reviews and IFC assessments across business processes, including documentation, design evaluation, and operating effectiveness testing.
• Identify control deficiencies, compliance gaps, and instances of non‑compliance, and support management in defining and tracking corrective action plans.
• Assist in remediation efforts by providing guidance on control design improvements and sustainable solutions to prevent recurrence of issues.
• Support the development, enhancement, and periodic update of SOX narratives, risk and control matrices (RCMs), and standard operating procedures.
• Contribute to proactive initiatives aimed at strengthening controls, reducing compliance risks, and improving process efficiency.
• Coordinate with cross‑functional stakeholders (Finance, Operations, IT, and Business teams) to support timely SOX testing, remediation, and closure activities.
• Assist with internal audits, management testing, and interactions with internal and external auditors, as applicable.
• Maintain appropriate documentation and evidence to support audit trails and management certifications.

What you will have

• Chartered Accountant (CA) or Certified Internal Auditor (CIA).
• 3–4 years of post‑qualification experience, preferably in SOX compliance, IFC, internal audits, or risk and controls roles.
• Prior experience in SOX compliance, internal audits, or Big 4 / large corporate audit environments is strongly preferred.
• This position requires candidate to work a 5-day -a -week schedule in the Hosur Facility

Skills desired:

Process Management

• Knowledge of SOX, IFC, and audit methodologies.
• Ability to understand, document, monitor, and improve end‑to‑end business processes.
• Develops and reviews process flows, control narratives, and workflow diagrams.
• Identifies control dependencies, hand‑offs, and common process bottlenecks.

Risk Management

• Assists in identifying financial, operational, and compliance risks relevant to business processes.
• Supports risk assessments and evaluates control design adequacy.
• Documents risk mitigation approaches and supports remediation tracking.
• Understands risk assessment techniques applicable to SOX and internal audits.

Accuracy and Attention to Detail

• Demonstrates strong attention to detail in testing, documentation, and audit evidence review.
• Applies structured checklists and validation techniques to ensure accuracy.
• Understands the impact of control failures, errors, and documentation gaps.
• Learns from audit findings and applies improvements consistently.

Analytical Thinking

• Analyzes control gaps and identifies root causes of deficiencies.
• Evaluates alternative remediation approaches and supports management decision‑making.
• Uses structured tools (flowcharts, issue logs, root cause analysis) to support conclusions.
• Draws logical inferences from audit observations and testing results.

Effective Communication

• Prepares clear and concise audit documentation, reports, and summaries.
• Communicates control issues and remediation requirements effectively to stakeholders.
• Participates in meetings with business teams, auditors, and management.
• Adapts communication style to suit technical and non‑technical audiences.

Problem Solving

• Identifies compliance and control issues and supports resolution planning.
• Assists in evaluating risks, benefits, and feasibility of remediation options.
• Applies fact‑finding techniques to support audit conclusions and recommendations.

SOX and Internal Audit Function

• Understands the objectives, scope, and responsibilities of the Corporate SOX function.
• Demonstrates familiarity with SOX testing cycles, management testing, and audit coordination.
• Understands the role of technology and documentation standards in SOX compliance.

Data Gathering and Reporting

• Collects, validates, and summarizes testing results and audit evidence.
• Prepares basic reports, issue trackers, and status dashboards.
• Interprets testing outcomes and communicates results clearly to stakeholders.

What you will get:

• Work Life Harmony
• Earned and medical leave.
• Relocation assistance

Holistic Development

• Personal and professional development through Caterpillar ‘s employee resource groups across the globe
• Career developments opportunities with global prospects

Health and Wellness

• Medical coverage -Medical, life and personal accident coverage
• Employee mental wellness assistance program

Financial Wellness

• Employee investment plan
• Pay for performance -Annual incentive Bonus plan.

Additional Information:

Caterpillar is not currently hiring individuals for this position who now or in the future require sponsorship for employment visa status; however, as a global company, Caterpillar offers many job opportunities outside of the U.S. which can be found through our employment website at www.caterpillar.com/careers

This position requires working onsite five days a week.

Visa Sponsorship is not available for this position.

Posting Dates:

April 3, 2026 - April 16, 2026

Caterpillar is an Equal Opportunity Employer. Qualified applicants of any age are encouraged to apply

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