The Operational Resilience Self-Assessment Workbook

Are you confident your firm can demonstrate compliance with the FCA's operational resilience requirements under SYSC 15A?

The FCA expects all regulated firms to have robust operational resilience frameworks in place. This comprehensive workbook provides everything you need to assess, document, and evidence your firm's compliance.

What is Included

This professional workbook contains a complete self-assessment framework covering all key operational resilience requirements:

Important Business Services (IBS) Identification: A structured methodology for identifying and documenting your firm's important business services from the customer's perspective, with ready-to-use registers and assessment checklists.

Impact Tolerance Setting: Guidance on setting meaningful impact tolerances at the point harm becomes intolerable, including measurement metrics, harm indicators, and board-ready documentation templates.

Resource Mapping Framework: Comprehensive mapping templates covering people, processes, technology, facilities, and third-party dependencies for each important business service.

Third Party Dependency Assessment: Detailed registers and assessment criteria for evaluating third-party providers, including criticality ratings, substitutability analysis, and exit strategy documentation.

Scenario Testing Programme: A structured approach to designing and documenting severe but plausible disruption scenarios, with results tracking and lessons learned templates.

Vulnerability and Remediation Tracking: Tools to identify, prioritise, and track remediation of operational vulnerabilities with clear ownership and deadlines.

Governance Self-Assessment: Checklists to ensure appropriate board oversight, SMF accountability, and three lines of defence coverage.

Communication Strategy Templates: Frameworks for internal escalation, external stakeholder communication, and regulatory notification procedures.

Ongoing Compliance Schedule: Review calendars and monitoring frameworks to maintain your operational resilience programme.

Who This Workbook is For

This workbook is designed for FCA solo-regulated firms including investment firms, consumer credit firms, insurance intermediaries, payment services firms, and other FCA-authorised businesses that must comply with SYSC 15A operational resilience requirements.

Ideal for compliance officers, COOs, risk managers, and senior managers responsible for operational resilience.

Regulatory Alignment

Fully aligned with FCA SYSC 15A requirements, PS21/3 (Building Operational Resilience), and FG21/1 (Operational Resilience Final Guidance).

Professional Format

Delivered as an editable Word document with professional formatting, branded headers and footers, and comprehensive assessment tables ready for completion.

Includes VAT at 20%. If you are a business and need a VAT Receipt, please ask.