Compliance Program Risk Assessment Form
Identify compliance risks, evaluate existing controls, and prioritize program improvements.
Organization and Assessment Context
Organization name
*
Respondent name and role
*
Assessment scope
*
Risk and Control Evaluation
Compliance domains in scope
*
Privacy and data handling
Cybersecurity
Workplace practices
Financial controls
Third-party/vendor oversight
Records management
Other
Risk assessment table
*
Rows
Likelihood
Impact
Existing control effectiveness
Privacy and data handling
1
2
3
Cybersecurity
4
5
6
Workplace practices
7
8
9
Financial controls
10
11
12
Third-party/vendor oversight
13
14
15
Records management
16
17
18
Highest-priority risk
*
Overall compliance program maturity
*
1
2
3
4
5
Response and Follow-up
Existing policies, training, or monitoring
Planned mitigation or improvement actions
Follow-up owner and target review date
Submit Assessment
Should be Empty: