Compliance Risk Assessment

Take control of your firm’s compliance risks

The Compliance Risk Assessment template gives you everything you need to identify, measure, and manage non-compliance risks across your business. Many firms struggle to find a simple solution—software can be expensive and inflexible, while homemade approaches often miss vital threats. With this template, you get a practical and professional solution, whatever your firm’s size.

Why choose this Compliance Risk Assessment?

Using Excel, the Compliance Risk Assessment keeps things easy and familiar. You don’t need extra software or complex training—just download the template and start assessing your firm’s risks straight away.

What’s included?

• Over 250 sub-risks across seven key risk categories, including Market Conduct, Management and Governance, and Financial Resources.

• Simple risk ratings and colour coding you can tailor to your business.

• Dashboards that pull together your results for clear reporting to boards and committees.

• Step-by-step instructions for adapting the assessment to your firm’s own needs.

• Industry-standard risk rating guidance and explanations.

• Best practice advice on running an effective risk assessment.

Make compliance risk management easy

With the Compliance Risk Assessment, you save time, cut costs, and boost your firm’s risk awareness. The template is flexible enough for annual reviews, business changes, or ad hoc checks. Use the dashboards for instant insights and show FCA and board members clear, consistent results every year.

Who is it for?

This Compliance Risk Assessment is perfect for compliance professionals, managers, and anyone tasked with risk reporting. Whether your firm is small or large, the template grows with you.

Download the Compliance Risk Assessment today and create a stronger, safer compliance function for your business.