Compliance Risk Assessment Questionnaire

Compliance Risk Assessment Questionnaire Template for Nigeria

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Key Requirements PROMPT example:

"I need a Compliance Risk Assessment Questionnaire for a medium-sized fintech company operating in Nigeria, with specific focus on data protection and anti-money laundering requirements, to be completed by March 2025."

Document background

The Compliance Risk Assessment Questionnaire serves as a critical tool for organizations operating in Nigeria to evaluate their compliance with local regulations and international best practices. It is designed to be used during annual compliance reviews, prior to regulatory audits, or when establishing new operations in Nigeria. The questionnaire covers various risk domains including anti-corruption, data protection, corporate governance, and financial crime prevention, aligned with key Nigerian legislation such as CAMA 2020, NDPR 2019, and the Corrupt Practices Act. It helps organizations identify compliance gaps, assess risk exposure, and develop appropriate mitigation strategies while maintaining documentary evidence of their compliance efforts. This tool is particularly valuable given Nigeria's complex regulatory environment and increased focus on corporate governance and transparency.

Suggested Sections

1. Company Information: Basic details about the organization including registration information, business activities, and operational structure

2. Regulatory Framework: Identification of applicable laws, regulations, and regulatory bodies overseeing the organization

3. Corporate Governance Assessment: Questions regarding board structure, management oversight, and internal control systems

4. Anti-Corruption and Ethics: Assessment of anti-bribery measures, gift policies, and ethical business practices

5. Data Protection and Privacy: Evaluation of compliance with NDPR 2019 and data handling practices

6. Financial Crime Prevention: Assessment of AML/CFT measures and fraud prevention systems

7. Risk Management Framework: Evaluation of risk identification, assessment, and mitigation processes

8. Compliance Training and Culture: Assessment of staff training programs and compliance culture

9. Incident Reporting and Investigation: Evaluation of processes for reporting and investigating compliance breaches

10. Documentation and Record Keeping: Assessment of compliance documentation and record retention practices

Optional Sections

1. Industry-Specific Compliance: Additional questions specific to regulated industries (e.g., financial services, healthcare, telecommunications)

2. Environmental Compliance: Assessment of environmental regulations compliance, relevant for manufacturing and extractive industries

3. Health and Safety Compliance: Evaluation of workplace safety measures, particularly relevant for industrial and construction sectors

4. Export Control Compliance: For organizations engaged in international trade

5. Technology and Cybersecurity: Detailed assessment of IT security compliance, particularly relevant for technology-dependent organizations

Suggested Schedules

1. Risk Assessment Matrix: Scoring methodology and risk categorization framework

2. Required Documentation Checklist: List of documents required as evidence for compliance verification

3. Regulatory Requirements Reference: Detailed listing of applicable Nigerian regulations and compliance requirements

4. Action Plan Template: Template for documenting and tracking remediation actions for identified compliance gaps

5. Previous Assessment History: Template for recording historical compliance assessment results and progress

6. Compliance Certification Form: Declaration form for management to certify the accuracy of provided information

Authors

Alex Denne

Head of Growth (Open Source Law) @ ��Ƶ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Oil and Gas

Manufacturing

Telecommunications

Healthcare

Mining

Real Estate

Technology

Retail and Consumer Goods

Transportation and Logistics

Agriculture

Construction

Education

Professional Services

Energy

Relevant Teams

Legal

Compliance

Risk Management

Internal Audit

Corporate Governance

Regulatory Affairs

Ethics and Integrity

Data Protection

Corporate Affairs

Finance

Human Resources

Operations

Information Technology

Security

Relevant Roles

Chief Compliance Officer

Risk Manager

Legal Counsel

Company Secretary

Internal Auditor

Chief Executive Officer

Chief Financial Officer

Data Protection Officer

Regulatory Affairs Manager

Ethics Officer

Head of Governance

Compliance Analyst

Risk Assessment Specialist

Corporate Governance Manager

Chief Risk Officer

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Authors

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