Operational Resilience Self-Assessment Workbook
Demonstrate FCA SYSC 15A Compliance with Confidence – A Complete Framework for Identifying, Testing, and Documenting Your Operational Resilience
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Download Your Workbook NowIs Your Firm Ready for FCA Scrutiny?
Uncertain About Important Business Services?
Many firms struggle to identify which services truly matter from the customer’s perspective and how to document their rationale for the FCA.
Impact Tolerances Set Incorrectly?
Setting tolerances based on current capabilities rather than the point where customer harm becomes intolerable is a common regulatory finding.
Mapping Documentation Incomplete?
Without comprehensive mapping of people, processes, technology, and third parties, you cannot identify your true vulnerabilities.
Scenario Testing Inadequate?
The FCA expects severe but plausible scenarios, not just testing against likely disruptions. Are your tests rigorous enough?
A Complete Operational Resilience Framework
Structured Self-Assessment
Comprehensive checklists covering every SYSC 15A requirement with space for evidence and compliance status.
IBS Identification Framework
Methodology guidance and ready-to-use registers for identifying and documenting important business services.
Impact Tolerance Templates
Document your tolerances with harm indicators, measurement metrics, and rationale documentation.
Resource Mapping Matrix
Comprehensive templates for mapping people, processes, technology, facilities, and third parties.
Scenario Testing Programme
Framework for designing, executing, and documenting severe but plausible disruption scenarios.
Remediation Tracker
Document vulnerabilities, assign ownership, set deadlines, and track progress to closure.
What is Inside the Workbook
Governance Framework
Board oversight checklists, SMF accountability documentation, and three lines of defence assessment.
IBS Register
Complete register template with service descriptions, owners, and importance rationale.
Impact Tolerance Register
Document maximum tolerable disruption, harm indicators, and measurement metrics for each IBS.
Resource Mapping Tables
Detailed templates covering all five resource categories for each important business service.
Third Party Assessment
Evaluate provider criticality, substitutability, and exit strategies with structured templates.
Scenario Testing Log
Record scenarios, affected services, expected impacts, test dates, and findings.
Communication Strategy
Internal escalation, external stakeholder, and regulatory notification frameworks.
Review Schedule
Annual review calendar with owner assignments and completion tracking.
Executive Summary Template
Board-ready summary of your assessment findings, compliance status, and recommendations.
Fully Aligned with FCA Requirements
This workbook is designed to help you demonstrate compliance with the FCA’s operational resilience framework. Every section maps directly to the regulatory expectations set out in SYSC 15A and supporting guidance.
Who This Workbook is For
Compliance Officers
Chief Operating Officers
Risk Managers
Senior Managers (SMF)
Investment Firms
Payment Services Firms
Consumer Credit Firms
Insurance Intermediaries
Demonstrate Your Operational Resilience Compliance
Get the complete framework to assess, document, and evidence your firm’s operational resilience. Professionally formatted and ready to use.
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