White Paper

The ultimate guide – Compliance risk assessment (incl. template)

Taking the first step is always challenging, especially when it comes to setting up an effective compliance programme. While many organisations, even those at the beginning of their compliance journey, often have policies, training, and controls in place, many have never undertaken a risk assessment.

This guide includes tips on how to successfully analyse compliance risk in your organisation – from identifying and assessing risks, defining strategies and measures to manage risk, through to the ongoing review of the risk landscape.


Content of the white paper:

  • What are potential compliance risks?
  • Identification and analysis of compliance risks
  • Documenting and ongoing review of compliance risks
  • Compliance risk analysis reports
  • Including a free Excel template for compliance risk assessment


Download White Paper now:

Register now for our Compliance News Service and receive relevant news from compliance, whistleblowing and business ethics. After successful registration for the Compliance News Service, you will receive the link to the white paper via email. You can unsubscribe from the news at any time.

About EQS Group

Established in 2000 and trusted by thousands of companies worldwide, EQS Group provides intuitive digital compliance solutions that help you comply with regulations and meet best practice.

Whether you need to manage insider lists or gifts and hospitality, store and effectively communicate your policies, address conflicts of interest or misconduct and minimise risk, we can help. Our goal is to equip Compliance Professionals with the power of simple workflows, automated processes, advanced analytics, and simplified reporting to make their job easier. In addition to its compliance product suite, EQS Group provides investor relations digital solutions.

Today the group employs more than 550 professionals and has offices in the world’s key financial markets.