Included Module: Risk Management

Identify. Assess.
Mitigate. Control.

A complete risk management framework built for financial services — track risks by category, score inherent and residual exposure, map controls, and demonstrate your risk appetite in action.

Trusted by 250+ UK-regulated firms

Risks Tracked

124

Controls

81%

Mitigated

Risk Register Heat Map Control Framework Risk Appetite Risk Scoring Audit Trail

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THE CHALLENGE

Risk Management Is Fragmented

Managing risks across spreadsheets with no scoring, no controls mapping, and no heat map leaves your firm exposed to the FCA.

Spreadsheet Registers

Risk registers built in Excel have no scoring methodology, no version control, and no way to link risks to the controls that mitigate them.

No Control Mapping

Risks exist in isolation with no link to the preventive or detective controls that should be mitigating them. Gaps go unnoticed.

No Risk Scoring

Without inherent and residual scoring, you can't demonstrate the value of your mitigation activities or prioritise where to focus effort.

No Risk Appetite

Your board has approved a risk appetite statement, but there's no system to set tolerances by category and track whether you're operating within bounds.

No Visual Overview

Without a heat map, it's impossible to see your entire risk landscape at a glance or communicate risk exposure to the board effectively.

No Audit Trail

When the FCA asks how you manage risk, you're piecing together evidence from emails, documents, and memory rather than a single system.

RISK MANAGEMENT MODULE

Your Complete Risk Framework

Log every risk, score inherent and residual exposure, map controls, visualise your risk landscape on an interactive heat map, and demonstrate your risk appetite in action.

CENTRAL REPOSITORY

Complete Risk Register

A single source of truth for all your risks. Log, track, and manage every identified risk with full audit trails and version history. Score inherent and residual exposure, assign owners, and never lose track of a risk again.

Unlimited entries with custom categories
Inherent & residual risk scoring
Linked controls & detective controls
Full audit history & version control

Risk Management — Risk Register

81% Mitigated Residual risk reduced

47 Risks Tracked & scored

Risks Tracked

Scored with inherent & residual exposure

124

Controls

Mapped to risks with effectiveness scoring

VISUALISATION

Interactive Heat Map

Visual 5x5 risk matrix showing your entire risk landscape at a glance. Score inherent and residual risk to demonstrate the value of your mitigation activities.

5x5 matrix with drag & drop
Inherent & residual scoring
Export to PDF for board packs

Risk Management — Heat Map

CONTROLS

Map Controls to Risks

Link preventive and detective controls to each risk. Score control effectiveness and identify gaps where risks remain unmitigated or under-controlled.

Preventive & detective controls
Risk-control mapping
Effectiveness scoring

Risk Management — Control Framework

APPETITE & GOVERNANCE

Define, Monitor, Demonstrate

Set risk appetite thresholds by category, monitor tolerance bands, and demonstrate to the board and FCA that you're operating within acceptable risk boundaries.

RISK APPETITE

Risk Appetite Thresholds

Define and document your firm's risk appetite by category. Set tolerances for regulatory, operational, strategic, and financial risk — then demonstrate you're operating within bounds.

Appetite by category (Regulatory, Operational, Financial, Strategic)
Zero tolerance bands for conduct risk
Breach alerts & escalation workflows
Board-ready export for governance packs

Risk Management — Risk Appetite

Within Appetite All categories in bounds

Board Ready Governance pack export

81%

Mitigated

Residual risk within appetite

Risk Category Management

Organise risks by regulatory, operational, financial, strategic, and conduct categories. Each category has its own appetite threshold and scoring methodology.

Custom category taxonomy
Category-level appetite thresholds
Cross-category risk linking

Risk Management — Heat Map

GOVERNANCE

Board Reporting & Exports

Generate board-ready risk reports automatically. Heat maps, appetite dashboards, control summaries, and trend analysis — all exportable as PDF governance packs.

One-click board pack generation
Heat map & appetite exports
Risk trend analysis over time

Risk Management — Control Framework

WHY REGTECHPRO

Spreadsheets vs RegTechPRO

Replace fragmented risk management with a structured, automated framework built for regulated firms.

The Old Way

Spreadsheet Risk Registers

£70,000+/year

Risk registers in Excel with no scoring
No link between risks and controls
No visual heat map for the board
Risk appetite documented but not tracked
Manual report compilation for governance

RECOMMENDED

The RegTechPRO Way

RegTechPRO

From £200/month

Structured risk register with inherent & residual scoring
Full control mapping with effectiveness scoring
Interactive 5x5 heat map with drag & drop
Risk appetite thresholds with breach alerts
Board-ready governance packs generated automatically

Next-Gen FCA Compliance Platform

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Identify. Assess.Mitigate. Control.