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Corporate Compliance Officer Kit

Build a compliance function: CMS, code of conduct, policies, anti-bribery, conflicts, whistleblowing, fraud and sanctions risk.

8 templates in 3 steps, in the order you use them. Open any template in the editor, fill it in and export it to PDF, DOCX or HTML.

Step 1

Framing

  1. Compliance Management System Manual Template (ISO 37301)

    Full

    CMS manual: scope, obligations register, compliance risk assessment, policy and roles, controls, concerns and investigations, KPIs, audit, review

    ISO 37301:2021 (Amd 1:2024)

  2. Code of Business Conduct Template (Corporate Ethics Code)

    Standard

    Corporate ethics code: leadership message, decision test, speak-up channels, bribery, gifts, conflicts, competition, sanctions, records, waivers, training

    ISO 37301:2021 cl. 5.2; ISO 37001:2025 cl. 5.2 (cited only)

  3. Corporate Policy Document Template

    Standard

    Corporate policy: purpose, scope, numbered statements, roles, compliance and exceptions, enforcement, definitions, review, approval

Step 2

Assessments

  1. Anti-Bribery Policy and Due Diligence Template (ISO 37001)

    Standard

    Bribery risk assessment, policy, anti-bribery function, financial and non-financial controls, third-party due diligence, gifts register, conflicts, legal examples

    ISO 37001:2025

  2. Fraud Risk Assessment Template (GAO Framework, UK Failure to Prevent Fraud)

    Full

    Scope and size test, governance, scales, scheme inventory, inherent and residual scoring, anti-fraud controls, override, analytics, six principles, actions

    GAO-15-593SP Fraud Risk Framework; GAO Green Book 2025 Principle 8; ECCTA 2023 s.199

  3. Sanctions Compliance Procedure Template (OFAC, EBA/GL/2024/14, OFSI)

    Full

    Regimes, governance, list management, customer and payment screening, ISO 20022 fields, fuzzy thresholds, alerts, freezing, OFAC/OFSI reporting, testing

    OFAC Framework for Compliance Commitments 2019; EBA/GL/2024/14 and 2024/15; OFSI guidance 2026
Step 3

Operations

  1. Conflicts of Interest Policy and Register Template (MiFID II, SEC)

    Full

    Conflicts policy, governance RACI, identification triggers, Art. 33 criteria, L x I rating, register, controls, last-resort disclosure, inducements, breaches, MI

    MiFID II Art. 23; Delegated Reg (EU) 2017/565 Art. 33-35; AIFMD Art. 14; SEC Advisers Act s.206

  2. Whistleblowing Policy Template (EU Directive 2019/1937, SOX, PIDA)

    Full

    Who and what is covered, internal channels, external reporting, confidentiality and anonymity, non-retaliation, 7-day and 3-month timelines, investigation, SOX 301 routing, records, KPIs, country annex

    Directive (EU) 2019/1937; SOX s.301 and s.806; Exchange Act s.21F; UK PIDA 1998