Lumiform
Features Solutions Resources Templates Enterprise Pricing
Select a language
Englishen
Deutschde
Françaisfr
Españoles
Português (BR)pt-BR
en
Contact salesLog in
Sign up
Back
Englishen
Deutschde
Françaisfr
Españoles
Português (BR)pt-BR
Features Solutions Resources Templates Enterprise Pricing
Free demo
Log in
en
Book a personal demoView video demoContact sales
Explore
Resource hubCentral repository for all Lumiform resourcesCustomer storiesReal-world successes and experiences with Lumiform.
Learn
Template collectionsComprehensive collections of best practice templates.Topic guidesComprehensive safety, quality, and excellence insights.LexiconDefinitions key to quality, safety, and compliance.
Support
Developer's guideTechnical documentation for developers.Help centerAssistance with onboarding and platform mastery.
Featured reads
Explore our collection of 38 free preventive maintenance checklists

Template collection

Explore our collection of 38 free preventive maintenance checklists

Start reading
Your guide to performing and documenting efficient child care observation

Topic guide

Your guide to performing and documenting efficient child care observation

Start reading
Lumiform as customer journey mapping tool in gastronomy

Success story

Lumiform as customer journey mapping tool in gastronomy

Start reading
Book a personal demoView video demoContact sales
By industry
Food and hospitalityManufacturingConstructionRetailTransport and logisticsFacility managementView all industries
By business needs
Health and safety managementQuality managementOperational excellenceRisk management and complianceView all business needs
By use case
Safety management softwareEnergy audit appForklift inspection appBuilding management softwareVehicle inspection appQMS appKaizen method appProperty inspection appRestaurant inspection appElevator management appProject management softwareFire inspection app
View all app uses
Book a personal demoView video demoContact sales
Overview
Template libraryDiscover over 12,000 free, ready-made and expert proofed templates.
Use cases
CleaningMaintenanceRisk assessmentSupply chainIncident management
Business needs
Health and safety managementQuality managementOperational excellenceRisk management and compliance
Industries
Food and hospitalityManufacturingRetailTransport and logisticsConstructionFacility management
Book a personal demoView video demoContact sales
Overview
Product overviewAll features
Capabilities
Digitize
Form builderMobile AppActions
Automate
Workflow automationApprovalsIntegrations
Transparency and accountability
ReportsAnalytics
Orchestrate
Administration
Book a personal demoView video demoContact sales
Templates
Compliance risk assessment template

Compliance risk assessment template

Use this template to keep your compliance strategy on track and manage potential risks. Tailor it to your organization’s needs, with sections for regulations, risk prioritization, and corrective actions.

Use this template
or download pdf
Compliance risk assessment template

Use this template to keep your compliance strategy on track and manage potential risks. Tailor it to your organization’s needs, with sections for regulations, risk prioritization, and corrective actions.

Use this template
or download pdf

About the Compliance risk assessment template

Balancing regulatory requirements and operational efficiency is a regular challenge for compliance managers. Our compliance risk assessment template is designed to simplify this task, helping you standardize evaluations and keep your organization compliant while avoiding costly penalties.

With this template, you can conveniently document your organization’s legal structure, industry-specific regulations, and control environment. Use it to assign roles, manage actions, and analyze data. This not only saves time but also boosts the accuracy and reliability of your compliance processes.

Key elements of a compliance risk assessment template

A comprehensive compliance risk assessment template is essential for identifying and managing potential regulatory risks. Here are its crucial components:

  1. Organizational overview: This section captures the legal structure, industry, and key business activities of your organization. It provides an organizational snapshot so you can understand the context in which compliance risks may arise.
  2. Regulatory landscape: Document the primary laws and regulations your organization must comply with and any penalties faced before. This element allows you to identify specific compliance requirements and ensures you stay updated with regulatory changes.
  3. Control environment: Detail your organization’s compliance function, including the number of employees in the compliance team, the existence of a formal Code of Conduct, and training programs. A robust control environment is vital for risk management.
  4. Risk assessment: Identify your organization’s top compliance risks, their potential impact, and how likely they are. In this section, you’ll prioritize risks and consider how to allocate resources effectively to mitigate them
  5. Monitoring and testing: Outline your compliance monitoring program, including the frequency of audits and types of testing performed. With regular monitoring, you can maintain compliance and detect issues early.
  6. Corrective action: Describe your process for remediating compliance issues. This element ensures that any identified risks are addressed promptly and effectively so your organization remains compliant.

How to customize the compliance risk assessment template

You can easily customize the template to fit your organization’s unique needs in the Lumiform app.

To make the most of your compliance risk assessment template, start by tailoring the risk assessment criteria. Adjust the impact and likelihood scales based on your organization’s risk profile. This keeps your evaluations precise and relevant.

Next, add industry-specific regulations to the template. Whether you’re in healthcare or finance, including these details allows you stay aligned with the latest standards.

Take advantage of conditional logic to streamline data collection. For instance, if a risk is marked as high, automatically prompt additional questions so the user can describe it more. This approach ensures you gather detailed information only when necessary, making the process efficient and focused.

Download Lumiform’s compliance risk assessment template today

Streamline your management processes with our user-friendly template. This tool allows you to document your organization’s framework, track regulations, and assess risks with ease. Tailor it to meet your organization’s specific requirements, and simplify your compliance strategy for greater efficiency.

Related categories

  • Risk management and compliance templates
  • General templates
  • Professional services templates
  • Risk assessment templates
  • Templates for business processes
Preview of the template
Page 1
Organizational Overview
What is the legal structure of the organization?
In which industry does the organization operate?
How many employees does the organization have?
What are the key business activities and services provided?
Regulatory Landscape
What are the primary laws and regulations the organization must comply with?
Has the organization faced any regulatory fines or penalties in the past 3 years?
If yes, provide details on the violation and corrective actions taken.
Control Environment
Does the organization have a dedicated compliance function?
If yes, how many employees are in the compliance team?
Does the organization have a formal Code of Conduct?
Does the organization provide regular compliance training to employees?
Does the organization have a whistleblower hotline?
Risk Assessment
What are the top 3 compliance risks facing the organization?
What is the potential impact of these risks?
What is the likelihood of these risks occurring?
Monitoring & Testing
Does the organization have a formal compliance monitoring program?
If yes, how frequently are compliance audits/reviews conducted?
What types of compliance testing are performed?
Are the results of compliance monitoring shared with senior management?
Corrective Action
Does the organization have a formal process to remediate compliance issues?
Provide an overview of the organization's compliance remediation process.

More templates like this

School risk assessment template
School risk assessment template
Ensure thorough and accurate risk assessments in your school with our customizable template. Download your free PDF now and create a more efficient and organized risk management process.
Risk assessment templates
Electrical risk assessment template
Electrical risk assessment template
Enhance electrical safety with our risk assessment template. Identify hazards, assign roles, and streamline data collection to keep your facility secure.
Risk assessment templates
DSEAR risk assessment template
DSEAR risk assessment template
A DSEAR risk assessment template is a tool for identifying, assessing, and controlling safety risks that can lead to fires, explosions, and metal corrosion caused by hazardous substances in the workplace.
Risk assessment templates
Security risk assessment checklist
Security risk assessment checklist
Use this risk assessment checklist to identify potential threats and vulnerabilities, conduct thorough evaluations, and get actionable insights your security measures.
Risk assessment templates
Fraud risk assessment template
Fraud risk assessment template
Use this template to evaluate your organization’s vulnerability to any threat or fraud risk and develop strong strategies to protect against them.
Risk assessment templates
Mental health risk assessment template
Mental health risk assessment template
Enhance your mental health assessments with our comprehensive template. Capture essential details and gain insights to improve patient care.
Risk assessment templates

Related resources

Access a complete set of resources aimed at maximizing safety, quality, and operational excellence, including detailed guides, related templates, and real-world use cases.

Topic guides

Read in-depth guides covering key topics related to this article.

Effective risk assessment: Key steps and best practicesYour ultimate guide to safety risk assessmentsSecurity risk assessment: The complete guide
See all topic guides

Template collections

See comprehensive collections of best practice templates related to this topic.

6 free health and safety risk assessment templates6 free stress risk assessment templates45 free risk assessment templates for every industry 
See all template collections

Use cases

Check out how the Lumiform software can be utilized for related use cases.

Risk management software for anticipating and adressing safety risksRisk assessment softwareIntuitive internal control software for your businesss
See all use cases

Other resources

Explore all the additional resources we offer to assist you in mastering this topic.

5 Types of workplace hazardsHow to evaluate compliance measuresHow to perform safety inspections4 benefits of safety management and how to communicate them

This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.
Lumiform logo
Platform
HomeSign upProductAll featuresPricingEnterpriseTrust and securityCustomer success offeringsDownload the app
Solutions
IndustriesFood and hospitalityManufacturingConstructionRetailTransport and logisticsFacility management
Business needsHealth and safety managementQuality managementOperational excellenceCompliance and risk management
Uses cases
Learn
Template collectionsTopic guidesLexiconHelp centerJournalInfographicsVideos
Resources
Lumiform templatesby industryby use caseby business needAll categories
Customer storiesDeveloper APIResource hubIntegrations
Company
AboutJobsLegalBook a demoContact sales
© 2025 LumiformTerms and conditionsPrivacyData processingSitemap
App StoreGoogle play