The Foundation Every Compliance Function Needs

Before you can manage Consumer Duty, SMCR, or financial crime compliance effectively, you need two things in place:

1. A systematic way to identify and track compliance risks
2. A process to monitor regulatory changes before they become urgent

The Compliance Foundation Kit gives you both — plus a Quick-Start Guide to have everything operational within 5 working days.

If you are a PSR Firm - Go Here!

What's Included

1. Compliance Risk Register with Heat Mapping (Worth £249)

A comprehensive Excel workbook featuring:

• Executive Dashboard with visual heat map and risk summary
• Full Risk Register with auto-calculating scores and ratings
• Action Tracker linked to identified risks
• Customisable 5×5 scoring methodology
• 11 compliance risk categories with regulatory references
• Risk identification prompts for each category
• 5 worked examples to demonstrate best practice

2. Regulatory Horizon Scanning Playbook (Worth £299)

A complete framework for tracking regulatory change:

• Horizon Scanning methodology document
• Regulatory tracking template
• Impact assessment framework
• Source monitoring checklist
• Board reporting template

3. BONUS: Quick-Start Implementation Guide

A 10-page step-by-step guide showing you how to:

• Implement both tools in 5 working days
• Connect Horizon Scanning outputs to your Risk Register
• Establish an effective ongoing review cycle
• Generate Board-ready compliance reporting

Why These Two Tools Together?

Regulatory changes create compliance risks. Your Horizon Scanning process identifies what's coming. Your Risk Register tracks whether you're prepared.

Example workflow:

1. FCA publishes new guidance on fair value assessments
2. Horizon Scanning captures this with High relevance rating
3. Impact assessment identifies gaps in your current process
4. New risk added to Risk Register: "Implementation of FCA fair value guidance"
5. Actions created in Action Tracker with owners and deadlines
6. Dashboard shows Board the current position

This integrated approach is what the FCA expects. SYSC 6.1 requires firms to have effective compliance arrangements. SYSC 7.1 requires risk management systems. This kit delivers both.

Who Is This For?

• Compliance Officers building or rebuilding their compliance framework
• Newly appointed MLROs or Compliance Managers
• Firms preparing for FCA authorisation
• Small firms without dedicated compliance resource
• Anyone who wants professional templates without months of development time

If you are a PSR Firm - Go Here!

Bundle Pricing

Product Individual Price

Compliance Risk Register (Essential) £249

Horizon Scanning Playbook (Standard) £299

Quick-Start Implementation Guide - Priceless!

BONUS

Total Value £548 + VAT

Bundle Price £349 + VAT (£418.80 total)

You Save £199 (36%)

Instant Download!

After purchase, you'll receive immediate access to:

• Compliance Risk Register.xlsx
• Horizon Scanning Playbook.docx
• Horizon Scanning Tracker.xlsx
• Foundation Kit Quick Start Guide.docx

All files are fully editable and ready to customise for your firm.

Questions? Email info@complianceconsultant.org

complianceconsultant.org | Making Compliance Work

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