Corporate Compliance Risk Assessment Questionnaire Form
Please complete this form to help assess your organization's corporate compliance risk. The information collected will be used to identify key risk areas and support compliance best practices.
Which department is completing this assessment?
*
Please Select
Legal
Finance
Operations
Human Resources
IT
Other
How would you rate your organization's overall compliance culture?
*
1
2
3
4
5
How frequently are compliance policies reviewed and updated?
*
Annually
Every 2-3 years
Rarely
Not sure
Compliance Risk Areas Assessment
*
Rows
Low
Medium
High
Regulatory compliance
1
2
3
Anti-bribery & corruption
4
5
6
Data privacy & protection
7
8
9
Internal controls
10
11
12
Third-party management
13
14
15
Are employees regularly trained on compliance topics?
*
Yes, annually
Yes, but less frequently
No
Not sure
How confident are you that compliance violations would be reported internally?
*
Not confident
1
2
3
4
Very confident
5
1 is Not confident, 5 is Very confident
Does your organization have a clear process for managing compliance incidents?
*
Yes
Partially
No
Not sure
Who is primarily responsible for overseeing compliance in your organization?
*
Please Select
Chief Compliance Officer
General Counsel
Department Head
No designated person
Other
Please describe any recent compliance challenges or concerns.
Submit Assessment
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