For risk & compliance professionals
Risk & compliance templates.
Built by someone who's used them.
Not recycled consulting decks. Not AI-generated policies. Frameworks built across 8+ years at commercial banks, fintechs, and BCG's Risk & Compliance practice — for the price of a team lunch.
Grounded in the guidance regulators actually cite. Ready to deploy.
Grounded in regulatory guidance
Not someone's old employer's templates with the logo swapped out. Built on SR 11-7, OCC bulletins, FFIEC standards, and state privacy laws — so you can defend what you're using.
Deploy in days, not months
You got hired to build a program, not spend 3 months formatting spreadsheets. Start with a defensible foundation and customize from there.
Better than what AI generates
ChatGPT can draft a policy — but can it tell you which regulatory guidance it's based on? These templates are built by a practitioner who's been through the exams.
Why this exists 💡
Every risk and compliance professional has done it: you join a new team, get asked to build a program from scratch, and end up calling a friend at your old company for their templates. Or a consultant brings in frameworks recycled from another client. The result? Documents that don't quite fit, questionable data privacy practices, and no confidence they'll hold up under regulatory scrutiny.
These templates are built on actual regulatory guidance — SR 11-7, OCC bulletins, FFIEC standards — so you're starting from a defensible foundation, not someone else's best guess.
More about me →Templates & Toolkits 🧰
From individual frameworks to comprehensive bundles — everything you need to build and run a risk program.
🎁 Free Resources
AI Risk Assessment Guide (Free)
A free introductory guide to AI risk assessment for financial services teams.
Issues Management Guide (Free)
A free introductory guide to building an effective issues management process.
Risk Register — Fintech Edition (Free)
141 pre-populated fintech risks across 21 categories. ISO 31000 structure. Ready to use in a week.
Threat Modeling for Agentic Payments (Free)
A 20,000-word whitepaper on threat modeling for AI-powered autonomous payment systems in financial services.
📄 Individual Templates
AI Risk Assessment Template & Guide
Comprehensive AI model governance and risk assessment templates for financial services teams.
Issues Management Tracker & Template
End-to-end issues tracking and remediation management for risk and compliance teams.
KRI Library (132 Key Risk Indicators)
132 KRIs with thresholds, data sources, and escalation triggers pre-built for financial services.
New Product Risk Assessment
Structured risk review process for new products, services, and business initiatives.
Financial Risk Management Kit
Credit risk, liquidity, concentration, and capital adequacy templates built for fintechs.
Loss Monitoring & Event Tracking Kit
Basel-aligned operational loss event tracking and root cause analysis for financial services.
RCSA (Risk & Control Self-Assessment)
141 pre-populated fintech risks with control assessments, questionnaire framework, and testing calendar.
Data Privacy Compliance Kit
Multi-state privacy compliance templates covering 19 state laws plus GLBA and CCPA.
Incident Response & Breach Notification Kit
Step-by-step incident response playbooks and breach notification templates for all 50 states.
Third-Party Risk Management (TPRM) Kit
Complete vendor risk management lifecycle from initial due diligence to ongoing oversight.
Enterprise Risk Management Framework (ERMF)
Complete ERM documentation: risk appetite, 3 Lines of Defense, committee charter, and board reporting.
SOC 2 Compliance Checklist
151 controls mapped to AICPA Trust Services Criteria with evidence collection guidance.
Business Continuity & Disaster Recovery (BCP/DR) Kit
BCP and DR templates with BIA, recovery procedures, and a standalone tabletop exercise kit.
📦 Bundles
GRC Starter Kit
Everything a new compliance hire needs to build their first risk program — 6 products at 46% off.
Compliance Essentials
Multi-domain compliance coverage: data privacy, incident response, BCP/DR, and SOC 2 — 43% off.
Operational Risk Program
Build a complete ORM program: ERM framework, RCSA, loss monitoring, financial risk, and KRIs — 37% off.
Complete GRC Library
Every template in the library — all 14 products at 58% off individual prices.
8+
Years in risk & compliance
20+
Templates, toolkits & frameworks
50+
State laws & regulations covered
From the Journal ✍️
View all posts →Long Island Investment Adviser Pleads Guilty to $160 Million Fraud: What Compliance Teams Should Learn
Vincent Camarda of A.G. Morgan Financial Advisors pleaded guilty to $160M investment fraud. Here's what went wrong and the compliance red flags every firm should watch for.
Apr 3, 2026
Regulatory ComplianceAI in Consequential Decision-Making: Where Regulators Draw the Compliance Line
How state and federal regulators define consequential AI decisions — and what compliance teams must do before June 2026 to avoid enforcement.
Apr 3, 2026
Data PrivacyAI and Consumer Data Rights: Where CCPA, State Privacy Laws, and AI Decisions Collide
How consumer data rights like deletion, opt-out, and access apply when businesses use AI for automated decisions — mapped across CCPA, Colorado, Virginia, and 17 other state laws.
Apr 3, 2026
AI RiskAI Model Validation: Testing Techniques That Actually Work for ML and LLM Models
A practitioner's guide to ai model validation techniques that satisfy OCC SR 11-7, FFIEC, and CFPB requirements for ML and LLM models in financial services.
Apr 3, 2026
Business ContinuityBIA vs Risk Assessment: What's the Difference and When to Use Each
Business impact analysis vs risk assessment — learn the key differences, when to use each, and how to integrate both into your BCM program.
Apr 3, 2026
Regulatory ComplianceWho Needs a Contingency Funding Plan? FINRA, OCC & Interagency Requirements Explained
Contingency funding plan requirements vary by regulator, but most banks and larger credit unions need a CFP now. Here’s what OCC, Fed, FDIC, NCUA, and FINRA expect.
Apr 3, 2026
Immaterial Findings ✉️
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