Workflow Templates: compliance audit checklist

Template Library Home

Start using this Workflow

compliance audit checklist

Policy and Documentation Review

Verify that all insurance policies are up-to-date and compliant with current regulations.

Ensure that documentation for underwriting procedures is complete and accurate.

Check that claim handling procedures are well-documented and accessible to staff.

Review privacy and data protection policies to ensure they meet legal requirements.

Confirm that employee training materials are current and cover necessary compliance topics.

Data Security and Privacy

Check that data encryption standards are implemented for sensitive customer information.

Ensure access controls are in place and effectively limit data access to authorized personnel.

Review incident response plans for data breaches and verify staff awareness.

Evaluate the effectiveness of data backup and recovery processes.

Verify compliance with GDPR or other applicable data protection regulations.

Financial and Operational Controls

Confirm that financial records are maintained accurately and in accordance with GAAP.

Ensure that internal audits are conducted regularly to detect and prevent fraud.

Review the process for setting and approving reserve levels for claims.

Check that premium collection processes are efficient and secure.

Verify that all financial transactions are documented and traceable.

Regulatory Compliance

Ensure all licenses and permits are current and displayed as required by law.

Review compliance with anti-money laundering regulations.

Verify adherence to state and federal regulations governing insurance practices.

Check that all marketing materials comply with advertising standards.

Confirm that customer complaint handling processes are compliant with regulatory requirements.

Use this template in Manifestly

Start a Free 14 Day Trial

Use Slack? Start your trial with one click

With Slack

Ready to take control of your recurring tasks?

Start Free 14-Day Trial

Use Slack? Sign up with one click

With Slack

Company

About
Product Roadmap
API Reference
Privacy Policy
Terms
Contact Us
Blog

Resources

Help
Getting Started Guides
Video Center
Demos
Your Account
Use Cases
Pricing

When you visit or interact with our sites, services or tools, we or our authorised service providers may use cookies for storing information to help provide you with a better, faster and safer experience and for marketing purposes.