Compliance Risk Management Toolkit

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Confirm your organization leads and executes Compliance Risk Management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework.

More Uses of the Compliance Risk Management Toolkit:

  • Evaluate: Compliance Risk Management officers.

  • Orchestrate: AML Compliance Risk Management officers.

  • Methodize: Compliance Risk Management.

  • Methodize: responsibility for proactively managing multiple complex projects to improve operational risk and Compliance Risk Management practices.

  • Lead: conduct in conjunction with team support; investigations, inquiries, privacy and Compliance Risk Management and remediation efforts.

  • Devise: product Compliance Risk Management.

  • Manage work with compliance team members to develop Compliance Risk Management guidance for the business teams.


Save time,,, empower your teams and effectively upgrade your processes with access to this practical Compliance Risk Management Toolkit and guide. Address common challenges with best-practice templates, step-by-step Work Plans and maturity diagnostics for any Compliance Risk Management related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Compliance Risk Management specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Compliance Risk Management Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a Data Driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 997 new and updated case-based questions, organized into seven core areas of Process Design, this Self-Assessment will help you identify areas in which Compliance Risk Management improvements can be made.

Examples; 10 of the 997 standard requirements:

  1. Are your risk, control and compliance resources and capabilities residing in the right function and location to minimize the cost while maximizing compliance, scalability, agility and transparency?

  2. Are you able to leverage the system to present data that is visually compelling to help expose risk factors, credit underwriting defects and compliance discrepancy trends to drive business change?

  3. Do senior management and the board understand that the threat of cyber attacks involving extortion increases your organizations liquidity, capital, operational, compliance and reputation risks?

  4. What are the requirements for an effective, strategic, enterprise wide archiving solution that can address the growth in litigation and ever increasing complexity of Regulatory Compliance?

  5. Does the IT Audit risk assessment process appropriately coordinate with, and consider the results of, other risk assessment dimensions, as financial, operational, compliance and geography?

  6. How effective is your organizations internal Audit Process in determining the adequacy of risk Control Systems and assessing compliance with relevant policy and statutory requirements?

  7. Will manual processes result in lost sales, costly delays, or expose to your organization to unnecessary compliance risk, like lacking of important elements in trade transactions?

  8. Does the Compliance Officer have sufficient knowledge of the relevant Regulatory Requirements applicable across all jurisdictions, business units, and products of the enterprise?

  9. Has it/organization entered into administration or is it experiencing financial difficulty that has/will result in budget cuts affecting Good Manufacturing Practice compliance?

  10. Is there a legitimate business need for rapid innovation and disruption, and a higher Risk Appetite or, conversely, is the business need more risk adverse or compliance driven?

Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the Compliance Risk Management book in PDF containing 997 requirements, which criteria correspond to the criteria in...

Your Compliance Risk Management self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the Compliance Risk Management Self-Assessment and Scorecard you will develop a clear picture of which Compliance Risk Management areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough Compliance Risk Management Self-Assessment
    • Is secure: Ensures offline Data Protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:


STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Compliance Risk Management projects with the 62 implementation resources:

Examples; 10 of the check box criteria:

  1. Quality Audit: How does your organization know that its management system is appropriately effective and constructive?

  2. Activity Duration Estimates: What steps did your organization take to earn this prestigious quality award?

  3. Human Resource Management Plan: Has the Scope Management document been updated and distributed to help prevent scope creep?

  4. Contractor Status Report: What was the budget or estimated cost for your organizations services?

  5. Project Portfolio management: Regularly review and revise the Compliance Risk Management Project Portfolio (eg several times a year) are done?

  6. Cost Management Plan: Does the schedule include Compliance Risk Management Project Management time and change request analysis time?

  7. Planning Process Group: Just how important is your work to the overall success of the Compliance Risk Management project?

  8. Assumption and Constraint Log: Is the process working, and people are not executing in compliance of the process?

  9. Activity Duration Estimates: Why is there a new or renewed interest in the field of Compliance Risk Management Project Management?

  10. Procurement Audit: Are there systems for recording and monitoring in order to discover malpractice and fraud in the procurement function/unit?

Step-by-step and complete Compliance Risk Management Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

2.0 Planning Process Group:

3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log

4.0 Monitoring and Controlling Process Group:

  • 4.1 Compliance Risk Management project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance

5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 Compliance Risk Management project or Phase Close-Out
  • 5.4 Lessons Learned



With this Three Step process you will have all the tools you need for any Compliance Risk Management project with this in-depth Compliance Risk Management Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Compliance Risk Management projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based best practice strategies aligned with overall goals
  • Integrate recent advances in Compliance Risk Management and put Process Design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Compliance Risk Management investments work better.

This Compliance Risk Management All-Inclusive Toolkit enables You to be that person.


Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.