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