Templates & Toolkits
Ready-to-use frameworks, checklists, and policies designed for financial services risk and compliance teams.
📚 Free Resources
Start here — download our free guides to get a taste of what's in the full templates.
AI Risk Assessment Guide (Free)
Get started with AI risk management using this free guide. Covers key concepts, frameworks, and practical considerations for identifying and managing AI-related risks in regulated financial institutions.
- AI risk fundamentals overview
- Key risk categories and considerations
- Practical getting-started guidance
Issues Management Guide (Free)
Learn the fundamentals of issues management in financial services. This free guide covers how to identify, track, escalate, and remediate issues from regulatory exams, internal audits, and self-identified findings.
- Issues management fundamentals
- Best practices for tracking and remediation
- Practical tips for compliance teams
Individual Templates
AI Risk Assessment Template & Guide
A complete framework for identifying, assessing, and mitigating AI-related risks in regulated financial institutions. Includes policy templates, pre-deployment checklists, model inventory templates, bias assessment tools, and ongoing monitoring guidance aligned with SR 11-7 and emerging AI regulatory expectations.
- AI model inventory template
- Pre-deployment risk assessment checklist
- Bias and fairness evaluation guide
- Model monitoring dashboard template
- AI governance policy template
- Third-party AI vendor due diligence questionnaire
Issues Management Tracker & Template
A structured issues management system that tracks findings from internal audits, regulatory exams, and self-identified issues through to closure. Includes root cause analysis templates, remediation planning tools, and executive reporting dashboards designed for financial services governance.
- Issues log and tracking register
- Root cause analysis template
- Remediation action plan template
- Management reporting dashboard
- Regulatory exam tracking module
- Closure validation checklist
New Product Risk Assessment
Guide your new product approval process with a comprehensive risk assessment framework covering credit, operational, compliance, legal, reputational, and strategic risks. Includes the complete workflow from pre-launch review through post-launch monitoring, with templates aligned to typical NPRM committee requirements.
- New Product Risk Assessment questionnaire
- Risk scoring matrix
- Multi-risk type coverage (credit, compliance, operational, legal)
- NPRM committee submission template
- Post-launch monitoring checklist
- Risk condition and approval tracking
Third-Party Risk Management (TPRM) Kit
A comprehensive TPRM program that covers the full vendor lifecycle: initial risk tiering and due diligence, contract review, onboarding, ongoing monitoring, and offboarding. Designed to meet OCC Bulletin 2013-29, FFIEC guidance, and financial services regulatory expectations for third-party risk.
- Vendor risk tiering methodology
- Due diligence questionnaire (comprehensive)
- Vendor risk scorecard
- Contract risk review checklist
- Ongoing monitoring calendar and templates
- Vendor offboarding checklist
- TPRM program policy template
Data Privacy Compliance Kit
Navigate the complex landscape of data privacy regulation with templates covering GDPR, CCPA/CPRA, GLBA, and other applicable privacy laws. Includes data mapping tools, privacy impact assessment templates, breach notification procedures, and consumer rights request workflows.
- Data inventory and mapping template
- Privacy Impact Assessment (PIA) template
- Consumer rights request procedures (DSAR)
- Privacy policy template and notices
- Vendor data processing agreement checklist
- GLBA Safeguards Rule compliance checklist
- Privacy training materials outline
Incident Response & Breach Notification Kit
Be prepared before an incident occurs. This kit provides complete incident response playbooks, breach notification timelines and templates for state and federal regulators, internal escalation procedures, and post-incident review frameworks. Aligned with NY DFS, NYDPA, GLBA, and major state breach notification laws.
- Incident response plan template
- Incident classification and severity matrix
- Breach notification letter templates (regulatory and consumer)
- State-by-state notification requirement reference
- Incident timeline and tracking log
- Post-incident review template
- Tabletop exercise scenarios
Business Continuity & Disaster Recovery (BCP/DR) Kit
A complete business continuity and disaster recovery toolkit including BIA templates, BCP and DR plan templates, crisis communication procedures, and testing/exercise frameworks. Designed to meet FFIEC Business Continuity Management guidance and support regulatory examination readiness.
- Business Impact Analysis (BIA) template
- Business Continuity Plan (BCP) template
- Disaster Recovery Plan (DRP) template
- Crisis communication templates
- Recovery Time Objective (RTO) worksheet
- BCP testing and exercise plan
- Vendor BCP review checklist
Bundles
Operational Risk Management Suite
A curated bundle for operational risk teams covering the three most common operational risk domains: AI/model risk governance, issues and findings management, and new product risk assessment. Each kit includes a comprehensive PDF guide and Excel template.
- AI Risk Assessment Template & Guide
- Issues Management Tracker & Guide
- New Product Risk Assessment Template & Guide
GRC Starter Kit
Built for growing fintechs and financial services teams standing up a GRC function for the first time. This bundle combines the foundational templates you need to cover your core risk and compliance obligations — from vendor risk management to issues tracking to new product approval.
- Issues Management Tracker & Guide
- New Product Risk Assessment Template & Guide
- TPRM Kit (Vendor Risk Management)
- AI Risk Assessment Template & Guide
Complete Risk Management Suite
Get every template in the RiskTemplates library at a significant discount. The Complete Risk Management Suite includes all 7 individual products — ideal for risk teams who want full coverage, or consultants advising multiple clients.
- AI Risk Assessment Template & Guide
- Issues Management Tracker & Guide
- New Product Risk Assessment Template & Guide
- Third-Party Risk Management (TPRM) Kit
- Data Privacy Compliance Kit
- Incident Response & Breach Notification Kit
- Business Continuity & Disaster Recovery (BCP/DR) Kit
Compliance Essentials Bundle
A curated bundle of the compliance templates most frequently requested by financial services teams: Data Privacy Compliance Kit, Incident Response & Breach Notification Kit, and Business Continuity & Disaster Recovery Kit. Covers your most critical compliance obligations at a bundled price.
- Data Privacy Compliance Kit
- Incident Response & Breach Notification Kit
- Business Continuity & Disaster Recovery (BCP/DR) Kit