Overall Compliance Risk Assessment

Updated 06/23/2023

This Compliance Risk Assessment is customizable to the bank’s needs and includes two workbooks (Compliance Risk Assessment Questionnaire Workpaper – Book 1 of 2) and (Compliance Risk Assessment Summary and Monitoring Schedule – Book 2 of 2). The questionnaire/workpaper is utilized to assess risk specific to any regulation or monitoring activity at the bank and this data is transferred to the summary and monitoring schedule once completed. These workbooks should allow for a high level of accuracy in determining both the bank’s inherent risk and residual risk for all compliance monitoring activities

The following are the key takeaways of the changes:

    1. Updated instructions tab for clarity of use and renamed workbooks


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