If you are a Chief Risk Officer, Head of Compliance, or Risk Governance Lead at a global wealth or asset management firm, this playbook was built for you.
Managing enterprise risk in a complex, cross-border environment means navigating overlapping regulatory expectations, fragmented risk data, and rising scrutiny from both domestic and international regulators. You are under pressure to demonstrate a consistent, auditable risk governance framework that supports strategic decision-making while meeting stringent reporting obligations. The expectation is not just compliance, but integration, where risk intelligence flows seamlessly from front-line units to board-level discussions. Without a standardized approach, teams default to ad hoc processes that increase exposure, reduce transparency, and complicate audit readiness.
Traditional alternatives are costly and slow. Engaging a Big-4 consultancy to design and implement an ERM framework typically costs between EUR 80,000 and EUR 250,000, depending on scope and jurisdictional complexity. Alternatively, building the program internally requires dedicating 2 to 3 full-time staff for 4 to 6 months, pulling key personnel away from core operational responsibilities. This playbook delivers the same foundational structure, documentation, and cross-regulatory alignment for a one-time cost of $395.
What you get
| Phase | File Type | Description | Count |
| Risk Governance | RACI Templates | Pre-built responsibility assignment matrices for risk committee, business units, compliance, and internal audit | 3 |
| Risk Governance | WBS Templates | Work breakdown structures for ERM program rollout, committee operations, and policy maintenance | 2 |
| Risk Assessment | Domain Assessments | 7 structured assessments with 30 questions each covering strategic, operational, financial, compliance, technology, model, and conduct risk domains | 7 |
| Risk Assessment | Maturity Workbook | 30-question ERM maturity assessment tool with scoring guide and gap analysis worksheet | 1 |
| Evidence & Audit | Evidence Collection Runbook | Step-by-step guide to compiling documentation for internal and external audits, including retention rules and sourcing protocols | 1 |
| Evidence & Audit | Audit Prep Playbook | Checklist-driven process for responding to regulator inquiries, preparing for examinations, and managing findings | 1 |
| Reporting & Monitoring | KRI Framework Templates | Customizable key risk indicator libraries with thresholds, escalation paths, and dashboard formats | 5 |
| Reporting & Monitoring | Incident Management Workflow | Standard operating procedure for logging, categorizing, investigating, and reporting risk incidents | 2 |
| Reporting & Monitoring | Board Reporting Templates | Quarterly and annual report formats with executive summaries, risk heat maps, and trend analysis | 4 |
| Cross-Reference | Cross-Framework Mappings | Detailed alignment tables linking controls and requirements across COSO ERM, ISO 31000, OSFI E-21, and SEC Regulatory Focus Areas | 44 |
Domain assessments
Each of the seven domain assessments contains 30 targeted questions designed to evaluate current practices, identify control gaps, and benchmark maturity across core risk areas:
- Strategic Risk Assessment: Evaluates alignment between enterprise objectives, market positioning, and long-term risk appetite.
- Operational Risk Assessment: Reviews process reliability, third-party dependencies, staffing models, and service continuity.
- Financial Risk Assessment: Assesses exposure to market, liquidity, and credit risks within portfolio and treasury operations.
- Compliance Risk Assessment: Validates adherence to regulatory obligations, licensing requirements, and conduct standards.
- Technology Risk Assessment: Examines cybersecurity posture, data governance, system resilience, and change management.
- Model Risk Assessment: Focuses on validation, documentation, and oversight of quantitative models used in investment and valuation decisions.
- Conduct Risk Assessment: Identifies vulnerabilities related to advisor behavior, client suitability, and incentive structures.
What this saves you
| Activity | Traditional Approach | With This Playbook |
| Define risk governance structure | 6, 8 weeks of internal workshops and consultant facilitation | Adapt pre-built RACI and WBS templates in 3, 5 days |
| Conduct baseline risk assessment | Develop custom questionnaires, train assessors, manage collection | Deploy validated 30-question assessments across 7 domains immediately |
| Prepare for regulatory audit | Assign team to compile evidence, respond to requests, track findings | Follow runbook and audit prep playbook to systematize response |
| Produce board-level risk reports | Manual data aggregation from siloed sources, inconsistent formatting | Use standardized templates with integrated KRI and incident data |
| Map controls to multiple frameworks | Hire consultants or dedicate compliance staff for 4+ months | Leverage 44 pre-built cross-framework mapping documents |
Who this is for
- Chief Risk Officers responsible for establishing or maturing an enterprise-wide risk function
- Heads of Compliance overseeing regulatory alignment across multiple jurisdictions
- Risk Governance Managers tasked with implementing standardized assessment and reporting processes
- Internal Audit Leads preparing for or responding to regulatory examinations
- ERM Program Managers leading cross-functional implementation of risk frameworks
- Compliance Analysts supporting evidence collection and control documentation
- Operations Directors in asset management firms accountable for operational risk oversight
Cross-framework mappings
This playbook includes detailed alignment across the following regulatory and industry frameworks:
- COSO ERM (Enterprise Risk Management, Integrating with Strategy and Performance)
- ISO 31000:2018 (Risk Management, Guidelines)
- OSFI E-21 (Enterprise-wide Threat and Risk Assessment)
- SEC Regulatory Focus Areas for Investment Advisers and Registered Funds
What is NOT in this product
- This is not a software tool or SaaS platform. It does not include automated workflows, dashboards, or data integration.
- It does not contain jurisdiction-specific legal advice or regulatory filings.
- There are no consulting services, training sessions, or implementation support included in the purchase.
- The templates are not pre-filled with your firm's data. Customization is required for deployment.
- It does not cover anti-money laundering (AML) or know-your-customer (KYC) program design in depth.
- There is no integration with GRC platforms or risk data warehouses.
- The playbook does not include staff certification or continuing education credits.
Lifetime access and satisfaction guarantee
You receive lifetime access to the complete ERM Implementation Playbook with no subscription and no login portal. The files are delivered as downloadable documents that you can store, share, and modify within your organization. If this playbook does not save your team at least 100 hours of manual compliance work, email us for a full refund. No questions, no friction.
About the seller
The creator has spent 25 years developing structured compliance and risk management resources for financial institutions worldwide. They have analyzed 692 regulatory and industry frameworks and built 819,000+ cross-framework mappings to support consistent implementation. Their materials are used by more than 40,000 compliance, risk, and legal practitioners across 160 countries.
