Senior Manager, Compliance Testing

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.
  

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