Job Openings at Equity Bank

Job Purpose:

The Digital Compliance & Audit Lead plays a key role in ensuring a robust IT and Operations control environment and compliance to leading technological standards, frameworks, and regulations. They will lead teams that implement a comprehensive and forward-looking compliance and audit issue management framework for IT and operations. They should be well versed in internal controls assurance, compliance and risk management, and leading technology standards relevant to financial institutions in the region.

Job Responsibilities/ Accountabilities:

• Manage the process for remediation of compliance and audit gaps in order to ensure certification, re-certification and compliance to adopted standards and achievement of audit issue closure targets
• Implement the Audit Issue Management Framework focused on embedding guidelines for effective exit meetings, root cause analysis for findings, corrective action and remediation planning & timing, accountability and tracking closure of audit issues
• Be the main liaison, facilitate logistic and communications for third parties (consultants, external auditors and assessors) involved in compliance reviews, audits and assessments of the Bank’s technology platforms and operations
• Support IT and Operations teams in implementing best practices for effective and timely remediation of audit and compliance gaps
• Coordinate with other assurance functions (Internal Audit, Risk Management, Compliance and Fraud) in tracking risk factors that can result in non-compliance and audit gaps across IT and operations
• Identify pervasive root causes driving non-compliance and audit gaps as well as emerging trends and advice on the changes required to policies, processes and SOPs and/or adopted standards across the Banks’ technologies and operations
• Monitor and coordinate IT and operations compliance activities to remain abreast of the status of all compliance activities on a continuing basis, taking appropriate steps to improve its effectiveness and identify trends
• Provide timely progress reports for assigned tasks/projects and also support the monthly, quarterly and annual management and Board level reporting
• Develop and maintain the annual schedule for compliance reviews, audits and assessment and perform the logistical planning
• Works with the Digital Training team to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all staff and managers
• Manage immediate reports to ensure unit objectives and KPIs are met in a timely manner.

Qualifications

Key Critical Competencies:

• A high degree of professionalism and personal integrity
• Excellent management skills
• Excellent analytical and reporting skills
• Demonstrated ability to work in an agile workplace and effectively balance multiple responsibilities
• Be a team leader and integrator
• Ability to work with a high degree of independence
• Strong knowledge and understanding of IT governance frameworks like COBIT and ITIL
• Understanding of key internal controls and risk management frameworks like IIA IPPF, COSO
• Good working knowledge of ISO standards (20000, 27001 & 22301), PCI DSS, and SWIFT CSCF requirements

Academic Qualifications and Competencies:

• At least 3 years of experience in Information Technology in the field of IT Governance, IT Risk Management, Information Security and/or IT Service Management with a minimum of 1 year in a management role
• A university degree in Computer Science, Information Technology, and/or related field
• Recognized certification in information systems management and/or security e.g. CISA, CISM, CGEIT, CRISC, ITIL, etc.
• Preferred – COBIT 5 or COBIT 2019 certified (Foundation, Implementation or Assessor levels)
• Preferred – Experience in working in banking environment will be an added advantage

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Job Purpose

The subsidiaries’ Digital Governance & Compliance officer plays a key role in implementing the IT and operational governance requirements for Equity Groups Banking subsidiaries in Uganda, Rwanda, Tanzania, DRC, and South Sudan. They will work alongside the subsidiaries’ IT Heads and Group Digital Governance team to ensure effective audit issue management, implementation, and compliance to applicable standards and conformance to policies and SOPs. They should be versatile and well versed in leading technology standards, policies, internal controls assurance, compliance, audit, and risk management.

Job Responsibilities/ Accountabilities:

• Work with stakeholders, at the Subsidiaries and Group, in the remediation of compliance and audit gaps in order to ensure achievement of audit issue closure targets and certification compliance for adopted standards
• Support IT and Operations teams to embed guidelines for effective audit issue management i.e. effective exit meetings, root cause analysis for findings, corrective action and remediation planning & timing, accountability, and tracking closure of audit issues
• Work with the other assurance functions (Internal Audit, Risk Management, Compliance, and Fraud) in tracking risk factors that can result in non-compliance and audit gaps across IT and operations
• Support in the identification of pervasive root causes driving non-compliance and audit gaps and advice on the changes required to policies, processes, and SOPs
• Support subsidiaries in implementing adopted technology, security, and operational standards and frameworks e.g. ISO 20000, 27001, 22301, PCI DSS, SWIFT Customer Security Controls (CSCF) among others
• Customize adopted technology, security, and operational and standards into subsidiaries policies, processes, and procedures (technology and operations)
• Support the IT and operations units to develop new and improve on existing processes and SOPs in line with technology policies, adopted standards, and in-country regulations
• Support third parties (consultants, external auditors, and assessors) involved in compliance reviews, audits, and assessments of the subsidiary Bank’s technology platforms and operations
• Update progress on the annual schedule for compliance reviews, audits, and assessment and support the logistical planning as required  
• Provide timely progress reports for assigned tasks/projects and also support the monthly, quarterly and annual management and Board level reporting.

Qualifications

Key Critical Competencies:

• A high degree of professionalism and personal integrity
• Excellent time management skills
• Good analytical and reporting skills
• Demonstrated ability to work in an agile workplace and effectively balance multiple responsibilities
• Ability to work with a high degree of independence while being a good team player
• Strong knowledge and understanding of internal controls and risk management frameworks like IIA IPPF, COSO
• Understanding of IT governance frameworks like COBIT and ITIL
• Good knowledge of PCI DSS, SWIFT CSCF requirements, and ISO standards (20000, 27001 & 22301)

Academic Qualifications and Competencies:

• At least 2 years of experience in Information Technology in the field of IT Governance, IT Risk Management, Information Security and/or IT Service Management
• A university degree in Computer Science, Information Technology, and/or related field
• Recognized certification in information systems management and/or security e.g. CISA, CISM, CGEIT, CRISC, ITIL etc.
• Preferred – Experience in working in banking environment will be an added advantage
• Preferred – COBIT 5 or COBIT 2019 certified (Foundation, Implementation or Assessor levels)
• Preferred - Certified as ISO Lead Implementer or Lead Auditor for ISO 20000, ISO 27001 and/or ISO 22301