Tools and Resources for Compliance Professionals
Practical compliance tools built by a practitioner, for practitioners. Every resource in this library was developed from real program work — tested in real organizations, refined through real implementations, and ready to use.
From individual templates to complete toolkits to automation resources, everything here is designed to help you build, strengthen, or scale a compliance program — at any budget level.
Featured Toolkits
Compliance Matrix Automation Toolkit — Smartsheet Edition
The complete Compliance Matrix automation system built in Smartsheet. Includes the obligation inventory structure, automated 60/30/15/5/0-day reminder workflows, proof-of-completion forms, escalation logic, and dashboard setup — ready to configure for your institution.
Compliance Matrix Automation Toolkit — Office 365 Edition
The same complete Compliance Matrix automation system, built for Microsoft Office 365 / SharePoint environments.
The complete governance documentation package for establishing and formalizing your compliance program structure. Available as a bundle or as individual documents.
Compliance Leadership and Governance Toolkit
Compliance Officer / Designated Compliance Administrator Job Description
A comprehensive position description for the compliance officer role, including authority, independence protections, and operational responsibilities.
Board (or Board Committee) Oversight and Responsibility Statement
A ready-to-adopt statement documenting the governing board’s oversight role and compliance responsibilities.
Compliance Committee Charter
A customizable charter establishing the Compliance Committee: purpose, membership, authority, meeting cadence, and reporting responsibilities.
Sample Board Resolution to Create a Compliance and Ethics Program
A customizable Board resolution template formally establishing the institution’s Compliance and Ethics Program.
Compliance Partner Job Description
A role supplement for the Compliance Partner designation — the subject-matter administrators who own specific compliance areas.
Board Compliance Report Template
A structured template for the annual compliance report to the Board or Board Committee — covering program status, risk highlights, monitoring findings, and program improvement initiatives.
Compliance and Ethics Program Gap Assessment Tool
An eight-element maturity assessment that evaluates where your compliance program stands — from Emerging to Optimized.
Compliance and Ethics Program Design Worksheet
A guided worksheet that walks compliance professionals through every key program design decision — governance structure, policy framework, risk assessment approach, training design, monitoring infrastructure, and enforcement structure.
Code of Ethical Conduct Template
A customizable Code of Ethical Conduct establishing the institution’s overarching standards of conduct — applicable to all employees, faculty, and agents.
Compliance Risk Assessment Toolkit
The complete risk assessment package. Available as a bundle or as individual instruments.
The subject-matter-owner-facing survey for gathering risk assessment data. Designed for descriptions, not self-scores — for more accurate and actionable data.
Compliance Risk Assessment Survey
Compliance Risk Assessment Facilitator’s Guide
The structured guide for compliance staff conducting in-person or virtual risk assessment interviews — with probe prompts, scoring guidance, and protocols for handling sensitive disclosures.
Compliance Risk Mitigation Plan Template
A structured template for developing risk mitigation plans for priority compliance areas.
Federal Sentencing Guidelines Elements of Compliance Worksheet
A guided worksheet applying all eight elements of the Federal Sentencing Guidelines framework to the institution’s compliance program — element by element.
Compliance and Ethics Program Current State Assessment Worksheet
A neutral intake instrument for documenting what currently exists at the institution before program design begins. Covers governance, policies, reporting, investigations, monitoring, and enforcement.
Training and Communication Tracker
A structured tracking system for managing training completion, communication activities, and compliance awareness efforts. Includes Training, Communication, Reference, and Instructions tabs.
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Blog
Our blog features articles on compliance program design, risk assessment, policy development, training, and more. New articles published regularly.
