Risk assessment
Assessments
Each assessment covers an activity, process, entity or scope. Active assessments are the validated reference; drafts carry changes awaiting a second reviewer.
| Assessment | Scope | Owner | Status | Risks | Last validated | Next review |
|---|---|---|---|---|---|---|
| AML & KYC — Retail Onboarding Compass Bank SA | ProcessRetail client onboarding | Claire Dubois | Active | 3 | 18 Jul 2026 by Claire Dubois | 18 Jan 2027 |
| Market Abuse — Securities Trading Compass Securities LLC · Compass Asset Management Ltd | ActivitySecurities trading desks | Sofia Martins | Draft1 pending change | 3 | 11 Feb 2026 by Claire Dubois | 11 Nov 2026 |
| Data Protection — Client Records Compass Bank SA · Compass Asset Management Ltd · Compass Securities LLC | ScopeClient personal data (all entities) | Thomas Becker | Active | 2 | 02 Jun 2026 by Sofia Martins | 02 Dec 2026 |