Compliance

• Monitor the policy lifecycle to ensure review deadlines are met
• Coordinate the policy review and approval process across all business areas
• Publish approved policies in Confluence and Drata
• Maintain controlled templates within the master files and Google Gallery
• Coordinate the timely review of risks within Drata
• Support the Senior Corporate Services Manager with risk assessment scheduling
• Monitor and report on Drata control readiness
• Create and manage Jira tickets for control issues requiring remediation
• Maintain the Drata evidence register
• Maintain the third-party provider register covering software vendors
• Ensure vendor contract records, renewals, and review evidence are current
• Own the CAPA register within QT9, covering corrective actions arising from ISO audits
• Support the internal audit programme, providing CAPA status and evidence to the Lead Auditor

GRC Analyst

• Execute the periodic compliance testing program covering key business processes, regulatory obligations, and internal policy requirements.
• Design and apply testing procedures, sampling methodologies, and workpaper standards that meet 2LOD independence and quality expectations.
• Document testing results with sufficient clarity and evidence to support observations, conclusions, and recommendations.
• Identify control gaps, policy breaches, and regulatory non-conformances, and communicate findings to business unit heads and senior management in a timely manner.
• Maintain an up-to-date testing calendar and tracker, ensuring all planned activities are completed within agreed timelines.
• Support alignment of the testing program with BSP and other applicable regulatory examination requirements.
• Perform ongoing monitoring of key controls across covered business lines to detect breaches, deterioration, or emerging weaknesses.
• Collect, analyze, and interpret control performance data and metrics, flagging anomalies or adverse trends for escalation.
• Conduct targeted deep-dive reviews when monitoring results indicate heightened risk or control failure.
• Maintain monitoring logs and evidence files in line with documentation standards and audit trail requirements.
• Coordinate with First Line of Defense (1LOD) process owners to obtain monitoring data, clarify control design, and validate control operation.
• Escalate significant control breaches, regulatory risks, or systemic issues to the Compliance Testing and Monitoring Head, Chief Compliance Officer, and Senior Management without undue delay.
• Log and maintain accurate records of all compliance testing findings and control monitoring exceptions in the issue tracking system.
• Track remediation commitments by business units, following up regularly to assess progress and validate completion.
• Verify the adequacy and effectiveness of remediation actions prior to issue closure — ensuring root causes, not just symptoms, have been addressed.
• Prepare and maintain status reports on open findings, aging issues, and remediation timelines for senior management reporting.
• Directly support the management and tracking of findings from BSP ROE, Letters of Concern (LOC), internal audits, and compliance incidents.
• Flag recurring or systemic issues, supporting root cause analysis and thematic reporting.
• Prepare clear, well-structured testing reports and monitoring summaries that accurately reflect findings, risk ratings, and recommended actions.
• Maintain organized and examination-ready workpaper files for all testing and monitoring activities.
• Contribute to periodic compliance reporting packages for senior management and Board-level committees.
• Support the continuous improvement of testing procedures, monitoring frameworks, and issue management protocols.
• Build effective working relationships with First Line business units as a professional and constructive 2LOD counterpart.
• Communicate findings and monitoring results clearly and objectively, balancing independence with a solutions-oriented approach.
• Assist the Compliance Testing and Monitoring Head and Chief Compliance Officer in preparing materials for regulatory examinations, including coordination of information requests and document production.
• Participate in compliance-related working groups, meetings, and training activities as required.

Compliance Testing Officer

• Conduct monthly import and export transactional audit
• Assist in releasing Trade Sphere holds and checkpoint holds in accordance with the regulations
• Assist in the screening of parties and of transactions
• Help drive the Business Units’ trade compliance and checkpoint policies

Trade Compliance Analyst II

• Maintain compliance files and technical documentation systematically
• Organise and maintain filing systems and document control structures
• Rename, merge, and update compliance files and folder structures
• Keep Declarations of Conformity up to date
• Verify warning labels, care instructions, barcodes, and country of origin information against compliance checklists
• Log customer quality complaints and track product defects
• Coordinate product samples between suppliers and testing laboratories
• Follow up with suppliers and laboratories for testing reports and documentation
• Coordinate social audits with suppliers and maintain testing schedules
• Liaise with international suppliers and labs to resolve pending documentation
• Manage outbound calls to suppliers and laboratories as required
• Enter and maintain product information in the ERP system
• Upload social audit information into Microsoft Dynamics AX
• Upload compliance and quality information into Salsify
• Assist with data entry for chemical assessments
• Coordinate Electrical Equipment Safety System renewals for approval
• Prepare weekly compliance reports and track outstanding documentation

Compliance Administration Assistant

• Perform independent, full-scope, and targeted compliance tests on technology and cybersecurity controls to assess their design and operating effectiveness
• Conduct regular and comprehensive technology and cyber risk assessments, documenting findings and recommendations to reduce risk exposure
• Assess and test risks associated with End-User Computing (EUC), and IT enabled Smart Solution (ITeSS) focusing on its principles, cycles and overall governance
• Independently evaluate technology and cyber risks within the business to ensure they are within the acceptable risk appetite, taking proactive measures to address areas of concern
• Build and maintain effective engagement with the 1st Line of Defense, business partners, and other key stakeholders to understand their risk profiles, strategic priorities, and challenges
• Provide expert guidance on technology and cyber risk mitigation strategies and control enhancements
• Participate in initiatives to augment technology and cyber risk management practices
• Analyze data to identify trends, emerging risks, and control gaps, providing timely recommendations to mitigate risk exposure
• Provide consistent, high-quality reporting to senior management and stakeholders on the status of assessments, detailing current risks, findings, and potential areas of concern

Compliance Assurance Senior Analyst, AVP

• Work closely with the Chief Compliance Officer, and other Business Units to ensure that the Company is compliant with its various regulatory compliance obligations
• Assist the Chief Compliance Officer to define the requirements for regulatory compliance and develop compliance risk assessment programs according to the annual compliance plan
• Assist the Chief Compliance Officer to identify risks and recommend solutions and implementation strategies for compliance issues to management and employees of all business units
• Provide compliance training to compliance managers on effectively carrying compliance programs for all employees in order for them to be knowledgeable of organizational policies, and federal/state standards
• Review and revise compliance policies on a regular basis and coordinate with other departments including internal audit and risk management
• Supervise, guide, and counsel compliance teams and monitor their implementation of key compliance strategies, initiatives and action plans
• Oversee internal and external funding sources and budgeting within compliance units to ensure successful implementation of the compliance mission
• Consult and report to the chief compliance officer regarding all compliance related initiatives, corrective actions, and reviews
• Manage the Regulatory Compliance Team
• Ensure that the business operations are executed within the legal and ethical boundaries set by the regulations
• Execution of Compliance Program to recognize areas where the company might be vulnerable to non-compliance
• Assist the BSP/Internal Auditors/External Auditors in conducting its periodic audit with the company

Regulatory Compliance Officer

• Audit service ticket completion reports
• Assist lead coordinators in lead dissemination and follow-ups
• Monitor and verify compliance with operational and safety policies
• Identify discrepancies or patterns in operational procedures
• Prepare reports and present audit findings to management
• Participate in ongoing virtual meetings and training sessions with management
• Take on additional auditing or operational tasks as the role evolves

Audit and Compliance VA

• Research and verify carriers using multiple online platforms to ensure legitimacy and compliance with company standards.
• Document our internal system to keep accurate records of carrier qualifications and compliance status.
• Analyze data and make informed decisions regarding carrier approval and risk assessment.
• Process requests efficiently in a fast-paced environment while maintaining accuracy and meeting established service levels.
• Collaborate with internal teams to address and resolve any carrier compliance issues or discrepancies.
• Prioritize and multitask effectively while handling a high volume of carrier approvals.

Carrier Compliance Representative

• Ensure the Business Unit’s (BU) transactions are screened and compliant with the rules and regulations and Emerson’s policies on International Trade Compliance.
• Ensure that the BU complies with the various rules of the Free Trade Agreement (FTA) it utilizes by helping perform FTA qualification and solicitation.
• Support the BU’s annual USMCA supplier solicitation.
• Determine the eligibility of BU products under U.S. government-funded procurement laws, including the American Recovery and Reinvestment Act (ARRA), Buy American Act, and various Buy America Acts.
• Provide tariff classification and analysis of the BU products.
• Prepare a monthly broker scorecard for the BU’s accredited brokers.
• Provide support to the BU in managing its trade compliance program.

Analyst I, Trade Compliance

• Execute search and discovery tasks by navigating data broker websites using member identifiers provided by the task system.
• Locate matching records, evaluate whether the result is a correct match, capture evidence through screenshots and listing URLs, and flag ambiguous results for team lead review.
• Submit opt-out and removal requests using web forms, email templates, and multi-step browser flows.
• Follow the Broker Playbook Card for each site, which provides the exact URL, required form fields, standard removal language, and step-by-step instructions.
• Complete CAPTCHAs and other anti-automation challenges as needed.
• Monitor designated facade email inboxes for verification messages from data brokers.
• Identify legitimate verification emails, click confirmation links, enter verification codes, or send approved reply text within required deadlines.
• Distinguish legitimate broker communications from spam or phishing attempts and flag suspicious messages immediately.
• Return to broker sites on a scheduled basis to verify that previously submitted removal requests were completed.
• Compare current site results against original evidence captured during the initial submission.
• Document outcomes and flag overdue or incomplete removals for re-submission and escalation.
• For a subset of identity-matched broker sites, prepare and submit formal authorized agent privacy rights requests using pre-built legal templates.
• Record every action in the task system with complete and accurate detail: submission method, timestamps, confirmation IDs, screenshots, and any deviations from the standard playbook.
• Report any data exposure, security concern, or process deviation immediately through the incident reporting system.

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