Finance · Compliance & Regulatory
Risk assessment templates
A standard form compliance teams fill in to score and document the risks a financial firm faces in a given area.
What it usually contains
- Risk categories and individual risk statements
- Scoring scales for likelihood and impact, with inherent and residual ratings
- Existing controls and mitigation measures listed against each risk
- Assigned risk owner, review date, and sign-off lines
- Guidance notes on rating definitions and thresholds
What the assistant uses it for
Use to answer how a firm structures and rates compliance risks, what scoring method and rating definitions apply, and who owns or approves each assessment.
How it is versioned
A document of this type has exactly one current version at a time. Upload a revision and it becomes the version that counts — the one before it is kept and dated, but is no longer what your assistant answers from. Nothing is ever deleted, so you can always show what this document said on a given date.
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