Compliance Risk Assessment Template

• Conducted on

  Date

• Prepared by

• Location
  Address

• Identify relevant regulatory requirements applicable to the organization.

• Attach documents or links to regulatory frameworks and guidelines.

  Media

Compliance Program Evaluation

• Is there a currently a compliance training program in place?

  Yes

  No

  N/A

• Are there any gaps or weaknesses in the compliance program?

  Pass

  Fail

  N/A

• Are there initiatives currently in place or in the pipeline to fill these gaps?

  Yes

  No

  N/A

• Rate the overall effectiveness of the compliance program on a scale from 1 to 5

Risk Identification

• Are there any recent non-compliance incidents in the past 6 months?

  Safe

  At Risk

  N/A

• When was the last update made to the compliance manual?

  Date

• How many compliance audits have been conducted in the last year?

Risk Mitigation Strategies

• Is there a developed action plan to address high-priority compliance risks?

  Yes

  No

  N/A

• Are there enough manpower to assign responsibilities for implementing mitigation measures?

  Yes

  No

  N/A

• Attach relevant supporting documents or references for mitigation strategies

  Media

Sign-Off

• Audit conducted by

  Sign

• Date Completed

  Date