Manager, Compliance Testing at Equity Bank Kenya

Job Purpose:

The Manager – Compliance Testing is responsible for executing risk-based onsite and offsite compliance testing engagements across branches and Head Office units, providing independent second-line assurance on control effectiveness and regulatory compliance. The role ensures consistent application of the Compliance Testing Methodology, including testing execution, sampling, scoring, reporting, issue tracking, and remediation validation, while adhering to defined SLAs and escalation protocols.

Delivering high-quality, evidence-based assurance outputs, enabling informed decision-making by Management and strengthening EBKL’s compliance and risk posture.

Key Responsibilities:

• Execute risk-based onsite and offsite compliance testing engagements in line with the approved testing plan and methodology.
• Perform technical compliance testing and effectiveness assessments across business units, branches, and functional areas.
• Apply approved sampling techniques (systematic, stratified, random, judgmental) and ensure proper documentation of testing procedures and working papers.
• Conduct data analysis and validation for offsite testing, ensuring completeness, accuracy, and reliability of data used.
• Apply the standardized scoring model and five-tier rating scale to assess compliance performance and control effectiveness.
• Prepare clear, concise testing reports detailing findings, root causes, risk ratings, and actionable recommendations aligned to ERMF reporting standards.
• Ensure adherence to Service Level Agreements (SLAs) for testing, reporting, and remediation timelines.
• Track, update, and maintain issues logs and remediation trackers, ensuring timely closure of identified gaps.
• Perform validation and re-testing of remedial actions to confirm effectiveness and sustainability of controls.
• Escalate high-risk findings, regulatory breaches, and overdue actions in line with the escalation matrix and governance framework.
• Support thematic reviews, deep-dive assessments, and regulatory inspection preparedness (e.g., CBK reviews).
• Maintain accurate documentation of testing procedures, results, and evidence for audit trail and regulatory defensibility.
• Collaborate with Business Units, BCMs, and Risk Framework Owners to ensure alignment of controls and Principal Risk Types (PRTs) mapping.

Qualifications

Education and Qualifications

• Bachelor’s degree plus relevant professional qualifications such as CAMS, ICA.
• Minimum 4–6 years’ experience in Compliance, Risk, Internal Audit, or Assurance
• At least 2–4 years in compliance testing or control assurance roles
• Proven experience in Risk-based testing execution, Control effectiveness reviews, Data-driven compliance analysis, Issue tracking and remediation validation

Key Skills and Competencies:

• Strong understanding of risk-based compliance testing frameworks and ERMF
• Knowledge of AML/CFT, conduct risk, and regulatory requirements
• Expertise in control testing, sampling methodologies, and data analysis
• Proficiency in compliance scoring models and reporting tools
• Strong analytical, documentation, and report writing skills
• High level of integrity, independence, and objectivity
• Effective stakeholder engagement and communication skills
• Ability to drive timely remediation and accountability