Compliance Risk Assessment
Exemplary100/100Annual risk register with residual risk heatmap
Risks on Register
4
High Residual
0
residual score > 12 / 25
Signed Off
3/4
Domains Covered
4
AI Compliance Risk Assessment
The AI conducts the CRA itself — it reads every module's live data, writes the working paper, scores each risk and updates the register. You review, edit any row, or re-run with guidance to iterate. Sign-off stays with you.
Inherent Risk Heatmap
Likelihood × impact before controls — count of risks per cell
Impact →
1
1
1
1
Likelihood →
Top Residual Risks
After control effectiveness — score out of 25
GenAI model output errors in research process
Technology · Dennis Ng
7.2
Failure to meet SFC filing deadlines
Regulatory · Rachel Ho
7.2
Inside information handling in concentrated HK book
Market Conduct · Rachel Ho
6.0
Investor base ML/TF exposure
AML/CFT · Rachel Ho
3.2
| Risk | Domain | L | I | CE | Status |
|---|---|---|---|---|---|
| Failure to meet SFC filing deadlines | Regulatory | 3 | 4 | 3 | Signed Off |
| GenAI model output errors in research process | Technology | 3 | 3 | 2 | Assessed |
| Inside information handling in concentrated HK book | Market Conduct | 3 | 5 | 4 | Signed Off |
| Investor base ML/TF exposure | AML/CFT | 2 | 4 | 4 | Signed Off |
4 of 4 risk register · click a row to view or edit