Compliance Foundation Kit
The two essential tools every Compliance Officer needs — in one integrated bundle with step-by-step implementation guide
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Sound Familiar?
No Central Risk View
Compliance risks are tracked in emails, spreadsheets, and people’s heads — making it impossible to see your overall position or report to the Board effectively.
Regulatory Changes Catch You Off Guard
New FCA requirements seem to appear from nowhere, leaving you scrambling to implement changes at the last minute with limited time and resource.
No Time to Build From Scratch
You know you need proper frameworks, but developing professional templates from scratch would take months you don’t have.
What’s Included
Two integrated tools that form the backbone of effective compliance management — plus a Quick-Start Guide to get you operational within 5 working days.
Compliance Risk Register
Worth £249- Executive Dashboard with visual heat map
- Full Risk Register with auto-calculating scores
- Integrated Action Tracker
- Customisable 5×5 scoring methodology
- 11 compliance risk categories
- Risk identification prompts library
- 5 worked examples included
Horizon Scanning Playbook
Worth £299- Complete methodology document
- Regulatory tracking template
- Impact assessment framework
- Source monitoring checklist
- Board reporting template
- FCA source directory
- Quarterly review process
Quick-Start Guide
BONUS- 5-day implementation roadmap
- Step-by-step setup instructions
- How to connect both tools
- Ongoing review cycle guidance
- Board reporting tips
- Implementation checklist
- Regulatory reference guide
How the Tools Work Together
Horizon Scanning
Captures new FCA guidance on fair value assessments
Impact Assessment
Identifies gaps in your current process
Risk Register
New risk added with owner and scoring
Action Tracker
Implementation tasks with deadlines
Dashboard
Board sees current position at a glance
Who Is This For?
Compliance Officers
Building or rebuilding your compliance framework and need professional templates as a starting point.
Newly Appointed MLROs
Stepping into a new role and need to establish credible compliance infrastructure quickly.
Firms Seeking Authorisation
Preparing for FCA authorisation and need to demonstrate robust compliance arrangements.
Small Firms
Without dedicated compliance resource but still needing professional-grade frameworks.
Bundle Pricing
Instant download • Fully editable templates • Lifetime access
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Aligned with FCA Requirements
Questions?
What format are the files?
The Risk Register is an Excel workbook (.xlsx). The Horizon Scanning Playbook and Quick-Start Guide are Word documents (.docx). All files are fully editable.
Can I customise the templates?
Absolutely. The templates are designed to be customised for your firm. Add your logo, adjust the scoring methodology, add firm-specific risk categories — make it yours.
How quickly can I implement this?
The Quick-Start Guide walks you through a 5-day implementation. Most users have both tools operational within a week.
Is this suitable for my firm size?
The Foundation Kit works for firms of all sizes. The templates are flexible enough to scale from small directly authorised firms to larger organisations.
Ready to Build Your Foundation?
Get the two essential tools every compliance function needs — and save £199 with the bundle.
Get the Foundation Kit — £349
