Project template for the office
Compliance audit checklist with every task dated from the day you start
Six weeks to an audit: the file sample, the gaps, the fixes, the day itself.
- 4 sections
- 14 tasks
- Opens as a list
- Dated from day 1
Compliance audit prep
Days count from the day you start. In the app, pick a start or a finish date and each task lands on a real day.
Six weeks out
- Confirm the audit scope and dateDay 1Urgent
- List what the auditor will ask forDay 2Client files, fact-finds, recommendations, disclosure records, training records, complaints log.
- Sample ten client files at randomDay 4High
- List every gap foundDay 5
Four weeks out
- Fix the gaps: one task per gap, one owner eachDay 11High
- Check every advisor's training and licensing record is currentDay 13
- Review the complaints log and its resolutionsDay 15
- Sample ten more filesDay 19
Two weeks out
- Brief the advisors on what will be asked and how to answerDay 29
- Prepare the document indexDay 31
- Book the room and the people the auditor will want to seeDay 33
Audit
- Audit dayDay 43, 9:00Urgent
- Log every finding and its ownerDay 44
- Close every findingDay 71High
About this template
An audit is only stressful if the files are. This project starts six weeks out: sample your own files the way the auditor will, list the gaps, fix them, and walk into the audit with the answers already written.
Tips from the template
- Set the audit date on the "Audit day" task and the rest fall in place.
- Sample ten files at random; do not pick the good ones.
- Every gap becomes a task with an owner and a date.
How to use it in ActivityTracker
- 1Open Tasks and choose Templates.
- 2Find Compliance audit prep and open it. You see every section and task before anything is added.
- 3Pick the day you start, or the day it has to be done by. Every date moves with it.
- 4Press Use template. Rename the project, then work down the list.
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Questions
Run it with the dates filled in.
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