Senior Manager, Compliance Testing

Senior Manager – Compliance Testing

Job Purpose

The Senior Manager – Compliance Testing is responsible for planning, executing, and overseeing risk-based onsite and offsite compliance testing activities, providing independent second-line assurance on the adequacy and effectiveness of controls across EBKL’s branches and Head Office units.

The role ensures consistent application of the Compliance Testing Methodology, including risk-based planning, technical and effectiveness testing, standardized scoring, SLA adherence, issue tracking, and escalation. It supports the Head of Compliance Testing in delivering high-quality, evidence-based reporting to senior management and Board committees.

Key Responsibilities

• Develop and implement risk-based compliance testing plans for assigned portfolios aligned to ERMF and regulatory priorities.
• Lead execution of onsite and offsite testing engagements, ensuring adherence to scope, timelines, and methodology requirements.
• Perform technical compliance testing and effectiveness assessments of controls across business units.
• Apply the standardized scoring model and five-tier rating scale to assess compliance performance and control effectiveness.
• Ensure sampling methodologies, data analysis, and testing procedures are robust, documented, and defensible.
• Prepare and review high-quality testing reports with clear findings, root causes, risk ratings, and actionable recommendations.
• Enforce and monitor Service Level Agreements (SLA) for testing, reporting, and remediation timelines.
• Track, validate, and monitor remediation actions, including sustainability of control improvements.
• Drive timely escalation of high-risk findings, regulatory breaches, and risk appetite breaches in line with ERMF governance structures.
• Maintain and update issues trackers, dashboards, and compliance reporting packs for management visibility.
• Collaborate with Risk Framework Owners, BCMs, and business units to ensure proper PRT mapping and control alignment.
• Support thematic reviews, deep dives, and regulatory inspection readiness exercises (e.g., CBK reviews).
• Provide training and oversight to testing teams to ensure consistency, quality, and independence of assurance activities.

Qualifications

Education and Experience

• Bachelor’s degree plus relevant professional qualifications such as CAMS, ICA.
• Minimum 6–8 years’ experience in Compliance, Risk, Internal Audit, or Assurance.
• At least 3–5 years in compliance testing / second-line assurance roles.
• Proven experience in risk-based compliance testing programs, control effectiveness assessments, regulatory engagement and inspection readiness, issue management and remediation tracking.

Key Skills and Competencies

• Strong knowledge of risk-based compliance testing and assurance frameworks.
• Deep understanding of ERMF, AML/CFT, conduct and regulatory requirements.
• Expertise in control testing, sampling techniques, and data analysis.
• Proficiency in risk scoring models, reporting, and dashboarding.
• Strong stakeholder management and influencing skills.
• Excellent analytical, report writing, and communication skills.
• High level of integrity, independence, and professional judgment.
• Ability to drive accountability, remediation, and continuous improvement.