Free Checklist Templates for Accounting

Accounting

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Quarterly Bookkeeping Checklist

Bank and Credit-Card Reconciliation

Confirm all bank statements received

Reconcile each operating bank account

Reconcile credit-card and merchant accounts

Age unreconciled items over the threshold

Accounts Receivable Review

Run the A/R aging report

Tie A/R aging to GL receivables

Pursue invoices over sixty days past due

Post bad-debt write-offs with partner approval

Accounts Payable and Vendor Review

Code open vendor bills in QBO

Tie A/P aging to GL payables

Schedule the quarter-end check run

Audit W-9s for 1099-eligible vendors

Payroll and Employment Tax

Reconcile payroll registers to GL wages

Verify Form 941 deposits for the quarter

Confirm state SUI and SIT remittances

Accrue unpaid wages through quarter-end

Inventory and Fixed Assets

Take quarter-end physical inventory count

Reconcile physical count to perpetual records

Post depreciation from the fixed-asset schedule

Record asset additions and disposals

Adjusting Journal Entries

Amortize prepaid expense balances

Recognize deferred revenue earned this quarter

Reclass misposted bank-feed transactions

Post owner-draw and intercompany entries

Trial Balance and Financial Statements

Generate the working trial balance

Review variances against the materiality threshold

Produce balance sheet, P&L, and cash flow

Document a variance memo with partner sign-off

Budget vs. Actuals Analysis

Compare actual revenue and expenses to budget

Update the rolling forecast for next quarter

Tax Compliance

Pull the 50-state nexus revenue summary

File quarterly sales-tax returns by jurisdiction

Register the firm in the new nexus state

Compute the next quarter estimated tax payment

Period Close and Client Delivery

Lock the period in QuickBooks Online

Back up the company file to encrypted storage

Deliver the quarter-end package to the client

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Quarterly Budget Review Checklist

Prior Quarter Variance Analysis

Pull the locked GL trial balance

Build the budget-vs-actual variance report

Document variance root causes with department leads

Current Financial Position

Reconcile cash across operating accounts

Review A/R aging and collection risk

Review A/P aging and DPO trend

Reconcile capex against the approved plan

Assess liquidity coverage for next quarter

Forecast Update

Roll the 12-month forecast forward

Refresh revenue assumptions against the sales pipeline

Refresh opex assumptions with department leads

Reforecast headcount and payroll costs

Goal Setting and Alignment

Set quarterly KPI targets with leadership

Align department budgets to the revised forecast

Communicate revised targets to budget owners

Upcoming Quarter Planning

Plan large capex and one-time expenses

Arrange credit-facility draw or accelerate collections

Schedule monthly budget check-ins with department heads

Compliance, Reporting, and Sign-Off

Confirm GAAP treatment for the quarter's entries

Prepare the board-package financial summary

Sign off on the quarterly budget review

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Quarterly Financial Reporting Checklist

Pre-Close Setup

Confirm sub-ledger cutoffs are posted

Distribute the PBC list to operating teams

Lock the prior period in the GL

Account Reconciliation and Tie-Out

Reconcile bank and credit-card accounts

Tie sub-ledgers to the general ledger

Roll forward debt and lease schedules

Flag accounts requiring partner review

Adjusting Journal Entries

Escalate unreconciled items to the partner

Accrue payroll, bonuses, and PTO

Post depreciation and amortization

Record revenue and deferred-revenue entries

Post the income tax provision entry

Financial Statement Preparation

Generate the working trial balance

Compile the four primary statements

Review statements against GAAP

Disclosures and MD&A

Draft footnotes and accounting policies

Request the legal letter from outside counsel

Document subsequent events through filing date

Draft the MD&A narrative

Obtain CFO sign-off on MD&A

Internal Control and Audit Coordination

Test key ICFR controls for the quarter

Log control deficiencies identified

Escalate material weakness to the audit committee

Deliver workpapers to the external auditor

Clear auditor review notes

10-Q Filing and Sign-Off

Confirm the SEC filing deadline

Tie the 10-Q draft to the financial statements

Collect CEO and CFO certifications

File the 10-Q on EDGAR

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Quarterly Internal Control Review Checklist

Financial Reporting Controls

Tie the trial balance to GL detail

Review variance against prior-period balances

Document control deficiencies for the quarter

Escalate material weakness to the audit committee

Accounting Records and Journal Entries

Sample manual journal entries from the quarter

Test preparer and approver segregation on JEs

Flag back-dated and weekend-posted entries

Confirm period lock in the GL system

Cash and Bank Controls

Review bank reconciliations for each operating account

Verify dual approval on wires above the policy threshold

Test the positive-pay file against the check register

Confirm the bank signatory roster

Accounts Receivable Controls

Tie the AR aging to GL receivables

Review credit-limit approvals for new customers

Sample bad-debt write-offs for authorization

Open a remediation memo for unauthorized write-offs

Accounts Payable Controls

Verify three-way match on sampled vendor invoices

Test vendor master changes for dual approval

Review the duplicate-payment exception report

Inventory Controls

Reconcile perpetual inventory to the physical count

Review cycle-count variance reports

Test the obsolescence reserve methodology

Fixed Asset Controls

Reconcile the fixed-asset roll-forward to GL

Sample capex approvals against the policy

Verify physical existence of sampled assets

Purchasing Controls

Review PO approvals against the authority matrix

Test vendor onboarding for W-9 and bank verification

IT General Controls

Review user access for terminated employees

Test MFA and password settings on financial systems

Verify the quarterly backup restore test

Open a DR remediation ticket for the failed restore

Review the change-management log for the quarter

Review and Sign-Off

Compile findings memo and remediation tracker

Obtain controller and CFO sign-off

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Quarterly Payroll Tax Compliance Checklist

Worker and Wage Verification

Pull the quarterly wage register

Verify W-4 and state withholding forms

Review 1099 versus W-2 classification

File worker reclassification corrections

Payroll System Reconciliation

Reconcile gross wages to GL payroll expense

Tie payroll clearing to bank activity

Confirm fringe and imputed income postings

Federal Deposit Compliance Review

Pull the EFTPS deposit history

Calculate failure-to-deposit penalty exposure

Confirm next-period deposit schedule

Form 941 and State Return Preparation

Draft Form 941 for the quarter

Reconcile 941 wages to the register

Prepare state withholding return

Prepare state unemployment (SUTA) return

Filing and Payment Submission

Submit Form 941 via MeF or paper

Remit balance due through EFTPS

File state returns through state portals

Post-Filing Documentation and Sign-Off

Archive workpapers in document management

Sign off on the quarterly compliance review

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Regulatory Compliance Checklist

Financial Reporting Standards

Confirm reporting framework and ASU updates

Tie financial disclosures to lead schedules

Refresh accounting policy memo

Tax Compliance

Reconcile federal filings (1120, 1120-S, 1065, 941)

File late returns under reasonable cause

Run 50-state nexus and sales-tax review

Audit 1099-NEC vendor list against W-9s

Internal Controls and Risk

Walk through key controls in the close cycle

Verify segregation of duties in QBO or NetSuite

Review SOC 1 reports for outsourced providers

Ethics and Governance

Confirm AICPA independence for attest clients

Refresh annual conflict-of-interest disclosures

Verify partner CPE hours and ethics credit

Anti-Money Laundering

Confirm BSA/AML program scope applies

Run KYC and sanctions screening on new clients

Deliver annual AML training to staff

Data Privacy and Security

Update the WISP under IRS Pub 4557

Map state privacy laws (CCPA, NY SHIELD, MA 201 CMR 17)

Sign off on the annual compliance review

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Risk Assessment Checklist

Governance and Strategy

Pull the current ERM policy and charter

Review audit committee minutes for risk oversight

Confirm the risk committee meeting cadence

Risk Identification

Facilitate a risk workshop with process owners

Update the entity-level risk register

Scan SEC and FASB releases for emerging risks

Risk Assessment

Score each risk for likelihood and impact

Rank risks against the materiality threshold

Compare ratings to the prior-year assessment

Control Activities

Map key controls to high-rated risks

Test design of ICFR controls

Log control deficiencies in the tracker

Draft the remediation plan for significant deficiencies

Information and Communication

Distribute the risk register to process owners

Issue an interim alert to the audit committee

Brief the audit committee on the risk profile

File workpapers in the engagement binder

Monitoring and Sign-Off

Schedule the next quarterly reassessment

Sign off with the engagement partner

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Risk Management Checklist

Risk Identification

Pull last quarter's risk register

Inventory engagement and independence risks

Inventory Circular 230 and preparer risks

Inventory data security and WISP risks

Inventory operational and staffing risks

Log identified risks to the register

Risk Analysis and Scoring

Score likelihood and impact for each risk

Test existing controls for design and operation

Calculate residual risk after controls

Classify the highest residual risk tier

Risk Mitigation Planning

Draft mitigation actions for high-tier risks

Assign owners and target dates

Update the WISP if security risks were identified

Escalate critical risks to the managing partner

Communication and Training

Brief staff on register changes

Refresh staff WISP acknowledgment

Notify professional liability carrier of material risks

Partner Review and Sign-Off

Hold the quarterly risk review meeting

Update the risk register with meeting decisions

Capture partner sign-off on the register

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Sales Tax Reporting Checklist

Pre-Filing Data Pull

Confirm the filing period and due date

Export the sales-by-jurisdiction report

Pull resale and exemption certificates on file

Nexus and Registration Review

Run the 50-state economic nexus summary

Register in newly-tripped jurisdictions

Confirm marketplace facilitator coverage by state

Reconciliation and Tax Calculation

Reconcile tax collected to the GL liability account

Investigate variance between engine and GL

Apply credits for returns and bad debts

Calculate vendor discount where allowed

Return Preparation and Review

Complete each jurisdiction return in the filing tool

Have a senior reviewer sign off on the return package

Address reviewer corrections before filing

Filing and Payment

Submit returns through state portals or filing tool

Schedule ACH debit for tax due

Capture confirmation numbers for every filing

Post-Filing Documentation

Post the JE clearing the sales tax payable

Update rate tables and product taxability

Archive workpapers for audit defense

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Segregation of Duties Assessment

Cash Receipts and Deposits

Confirm receiving and recording are separated

Verify the deposit preparer is independent

Test bank reconciliation reviewer independence

Document compensating controls for cash

Purchasing and Accounts Payable

Split requisitioning from PO approval

Confirm three-way match segregation

Verify AP reconciler independence

Document compensating controls for AP

Sales and Accounts Receivable

Split invoicing, cash application, and posting

Restrict credit memo and write-off authority

Schedule independent AR aging review

Payroll Processing

Separate HR master-file changes from payroll runs

Run an independent payroll register review

Verify direct-deposit setup is segregated

Fixed Assets and Inventory

Split asset custody from accounting records

Separate inventory counts from reconciliation

Confirm asset disposal authorization is segregated

Documentation and Sign-Off

Compile the SOD assessment workpaper

Obtain partner or controller sign-off

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SOX Compliance Checklist

Scoping and Risk Assessment

Set materiality and scoping thresholds

Identify significant accounts and disclosures

Map significant processes to FSAs

Define ITGC scope for in-scope systems

Control Documentation and Walkthroughs

Refresh process narratives and RCMs

Conduct walkthroughs with control owners

Confirm key vs. non-key control designation

Document segregation-of-duties matrix

Control Testing and Deficiency Evaluation

Execute design and operating effectiveness tests

Document test results and exceptions

Classify deficiency severity

Build remediation plan with control owners

Re-test remediated controls

Audit Committee and External Auditor Coordination

Confirm audit committee independence and financial expert

Review external auditor independence and PCAOB inspection

Share management testing results with external auditors

Hold quarterly audit committee meeting

Disclosure Controls and Certifications

Run quarterly sub-certification process

Evaluate ICFR changes for Item 4 disclosure

Obtain CEO and CFO 302 certifications

Issue 404(a) management assessment in 10-K

Fraud Prevention and Whistleblower Program

Conduct fraud risk assessment per AS 2401

Deliver code of ethics training to senior financial officers

Review whistleblower hotline reports

Disclose related-party transactions

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Staff Offboarding Checklist

Departure Notification

Notify HR and the partner-in-charge

Confirm the last working day

Flag whether the staff member is joining a client

Run an independence review for the client move

Engagement Reassignment

Inventory the staff member's active engagements

Reassign partner-in-charge on each engagement

Confirm the staff member's preparer credential

Reassign PTIN on open returns

Notify affected clients of the staff change

Workpaper and File Transfer

Move workpapers into the firm document system

Post final time entries and unbilled WIP

Clear open review notes on in-process returns

System Access Revocation

Disable tax software logins

Revoke client portal and document management access

Remove access from IRS e-Services and CAF

Disable email and collaboration tools

Property Recovery and Final Pay

Recover firm-issued hardware and tokens

Process the final paycheck

Send COBRA, 401(k), and HSA paperwork

Exit Interview and Compliance Sign-Off

Conduct the exit interview

Reaffirm confidentiality and non-solicit obligations

File the WISP data-destruction attestation

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System Access Control Checklist

User Access Management

Pull the current user roster from the IdP

Reconcile entitlements against the role matrix

Identify terminated or role-changed staff

File access-removal evidence in the WISP audit folder

User Responsibilities

Deliver IRS Pub 4557 security awareness training

Collect signed Acceptable Use Policy from staff

Verify password manager enrollment for all staff

System and Application Access Control

Audit role permissions in UltraTax or Lacerte

Audit QuickBooks Online client file permissions

Review TaxDome and SmartVault portal access

Operating System Controls

Confirm full-disk encryption on firm laptops

Verify MFA enforcement on firm logins

Check OS patch level against the WISP standard

Network and Remote Access

Review firewall rules at the firm perimeter

Confirm VPN required for off-premises client work

Verify guest Wi-Fi isolation from production

Monitoring and Quarterly Sign-Off

Pull and review access logs for anomalies

Update the WISP audit log

Sign off on the quarterly access review

Open remediation tickets for findings

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Tax Audit Documentation Checklist

Notice Review and Engagement

Review the IRS audit notice and deadline

Classify the audit type

Execute the representation engagement letter

File Form 2848 power of attorney

Taxpayer Profile and Scope

Verify legal name, address, and TIN

Pull the prior-year return and amendments

Document return-scope screening flags

Income Documentation

Gather W-2s, 1099s, and K-1s

Reconcile income to bank deposits

Tie reported income to the return

Deductions and Credits Substantiation

Compile Schedule A substantiation

Document charitable contributions over $250

Verify eligibility for claimed credits

Business Expenses and Fixed Assets

Collect business expense records

Reconcile expenses to the general ledger

Roll forward the depreciation schedule

Tax Payments and Filing Compliance

Document quarterly estimated tax payments

Verify payroll and sales-tax filings

Address prior IRS notices and correspondence

Foreign Reporting

Confirm FBAR filings for the period

Confirm Form 8938 FATCA filings

Document foreign income and FTC support

Response Package and Submission

Index the response package with bates numbers

Sign off on the response package

Submit via the IRS secure portal

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Tax Planning Checklist

Engagement Setup and Document Intake

Confirm engagement scope and fee

Identify client entity type

Send the PBC document request list

Verify documents received

Income and Position Analysis

Project current-year taxable income

Determine projected filing status and bracket

Run a multi-year projection in tax software

Flag AMT, NIIT, and QBI exposure

Identify business owner planning needs

Deduction and Credit Optimization

Compare standard versus itemized deduction

Model retirement contribution strategy

Review charitable giving plan

Identify available tax credits

Plan investment loss harvesting

Business Owner Strategies

Review S-corp reasonable compensation

Evaluate state PTET election

Plan Section 179 and bonus depreciation

Confirm accountable plan reimbursements

Estimated Payments and Withholding

Calculate Q4 estimated tax payment

Review and adjust W-2 withholding

Schedule estimated payments in EFTPS

Client Sign-Off and Action Plan

Prepare the planning memo

Hold the planning review meeting

Capture client decisions and partner sign-off

Confirm year-end action items completed

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Vendor Contract Negotiation Checklist

Scope and Requirements Definition

Document required deliverables and SLAs

Map stakeholders and internal owners

Classify the contract value tier

Vendor Due Diligence

Pull D&B report and audited financials

Complete three reference checks

Determine if vendor handles client PII

Review SOC 2 Type II and WISP alignment

Financial Analysis and Pricing

Benchmark pricing against peer firms

Model three-year total cost of ownership

Negotiate volume tiers and price caps

Contract Terms and Risk Allocation

Define scope and acceptance criteria

Set payment terms and late-fee mechanics

Lock in termination and exit assistance rights

Add indemnification and liability caps

Compliance and Legal Review

Confirm GLBA and IRS Pub 4557 alignment

Verify breach notification and data-residency clauses

Route redlines through outside counsel

Approval and Execution

Write the negotiation summary memo

Obtain managing-partner sign-off

Execute via DocuSign and file in vault

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Vendor Setup and Maintenance Checklist

Vendor Identification

Capture the vendor's legal entity name

Collect remit-to address and AR contact

Classify the vendor's tax entity type

Tax Documentation

Collect a signed W-9 from the vendor

Collect W-8BEN or W-8BEN-E for foreign vendors

Run a TIN match against IRS records

Place the vendor on backup withholding hold

1099 Reportability Determination

Determine 1099 reportability

Set the 1099 flag in the GL system

Payment Method Setup

Confirm the vendor's preferred payment method

Capture banking details for electronic payments

Verify banking details by callback

Establish payment terms and early-pay discount

Compliance and Due Diligence

Collect the certificate of insurance

Screen against OFAC SDN and sanctions lists

Confirm independence for attest clients

System Setup and Approval

Enter the vendor record in the GL system

Map the default expense account and class

Configure the AP approval workflow

Sign off on the new vendor record

Ongoing Maintenance

Refresh W-9 on file every three years

Track COI expiration and request renewal

Audit the vendor master quarterly

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Weekly Bookkeeping Checklist

Transaction Review

Pull bank and credit-card feeds

Categorize new bank-feed transactions

Verify expense account coding

Reconcile through the prior weekend

Investigate reconciliation variance

Accounts Receivable

Issue the week's customer invoices

Apply customer payments to invoices

Work the A/R aging report

Decide on 90+ day balances

Accounts Payable

Enter vendor bills from the inbox

Run three-way match on inventory bills

Schedule the weekly check run

Reconcile vendor statements

Payroll

Confirm whether payroll runs this week

Validate timesheets and PTO

Process the payroll run

Post the payroll journal to the GL

Update employee record changes

Reporting & Client Delivery

Build the 13-week cash flow forecast

Run P&L versus budget

Write management commentary

Deliver the weekly report package

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Year-End Accounting Checklist

GL Close & Financial Statements

Reconcile every bank, card, and loan account

Tie sub-ledgers to GL control accounts

Post year-end adjusting journal entries

Tax Compliance & Filings

Compile the tax workpaper package

Calculate Q4 estimated tax safe harbor

Confirm the engagement assurance level

Payroll & Year-End Wage Forms

Reconcile Q4 941 to W-2 and W-3 totals

Issue W-2s by January 31

Issue 1099-NEC forms by January 31

Inventory Count & Valuation

Conduct the year-end physical count

Reconcile physical count to perpetual inventory

Investigate inventory variance root cause

Accounts Receivable Cleanup

Review the 30/60/90 A/R aging

Assess the allowance for doubtful accounts

Send positive confirmations to top customers

Accounts Payable Cutoff

Search for unrecorded liabilities

Reconcile vendor statements to AP ledger

Validate vendor 1099 eligibility from the W-9 file

Fixed Assets & Depreciation

Reconcile the fixed-asset register to GL

Record current-year additions with Section 179 elections

Record disposals and impairment charges

Budgeting & Forecasting

Run actual-vs-budget variance analysis

Refresh the rolling 13-week cash forecast

Build the upcoming-year operating budget

Internal Controls & Audit Prep

Refresh the WISP and security controls

Confirm whether an external audit is scheduled

Assemble the audit PBC binder

Investments & Debt Review

Confirm debt covenant compliance

Reconcile investment statements to GL

Issue 1099-INT and 1099-DIV if applicable

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Year-End Bookkeeping Checklist

Pre-Close Setup

Confirm all bank statements are uploaded

Confirm December payroll is fully posted

Verify all vendor bills are entered through year-end

Confirm engagement is in scope for year-end work

Bank and Credit Card Reconciliation

Reconcile each operating bank account

Reconcile each credit card account

Clear stale uncleared transactions

Document unreconciled items over $1,000

Sub-Ledger Tie-Out

Tie A/R aging to GL receivables

Write off uncollectible receivables

Tie A/P aging to GL payables

Reconcile loan balances to lender statements

Tie payroll liabilities to year-end forms

Inventory and Fixed Assets

Confirm whether the client holds inventory

Adjust inventory to physical count

Roll forward the fixed asset schedule

Post annual depreciation and amortization

Adjusting Journal Entries

Accrue payroll for unpaid days

Record prepaid expense amortization

Recognize deferred revenue earned in period

Reclass misposted transactions found during recs

1099 Vendor Preparation

Run the 1099 vendor candidate report

Audit W-9s for every reportable vendor

File 1099-NEC forms with IRS and recipients

Final Reports and Client Delivery

Generate the working trial balance

Produce balance sheet, P&L, and cash flow

Write management commentary on top variances

Lock the period in QuickBooks Online

Deliver the year-end package and tax workpapers

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Year-End Tax Planning Checklist

Financial Statement Review

Reconcile bank and credit-card accounts through Q3

Tie A/R, A/P, and inventory to the GL

Review YTD P&L for unusual variances

Confirm entity type and tax framework

Document reasonable S-corp shareholder compensation

Payroll and Compensation Review

Confirm W-2 employee records are current

Audit the 1099-NEC vendor list against W-9s

Reconcile 941 deposits through Q3

Plan year-end bonus accruals and timing

Tax Position and Deductions

Project taxable income through Dec 31

Identify Section 179 and bonus depreciation moves

Evaluate NOL carryforward and shareholder basis

Review QBI deduction and PTET election

Evaluate R&D credit and energy credit eligibility

Income Timing and Capital Plans

Decide on income deferral or acceleration

Accelerate deductible expenses before Dec 31

Schedule capital purchases before year-end

Compare equipment purchase versus lease tax impact

Estimated Tax and Year-End Payments

Calculate Q4 federal and state estimates

Confirm prior-year safe harbor coverage

Make a Jan 15 catch-up estimate payment

Fund retirement plan contributions

Advisor Consultation and Sign-off

Schedule the year-end planning meeting

Send the planning workbook to the advisor

Review pending tax law changes for next year

Document the final plan and partner sign-off

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Yearly Accounting Department Goals Setting

Prior-Year Performance Review

Analyze year-end financials and KPIs

Score last year's department goals

Collect team feedback on wins and pain points

Document a remediation plan for missed goals

Financial Targets and Budget

Set the close-cycle and reporting targets

Define working-capital and cash KPIs

Build the department operating budget

Plan capital and software investments

Compliance and Audit Readiness

Confirm whether an external audit applies

Build the PBC list and audit timeline

Refresh the internal control matrix

Map tax and regulatory deadlines for the year

Review the WISP and data-security posture

Technology and Process Improvement

Identify automation candidates in the close

Decide on a GL or sub-ledger upgrade

Scope the system selection project

Clean up the chart of accounts

Team Development and Capacity

Map skill gaps against next year's workload

Plan CPE and certification paths

Set up cross-training to remove single points of failure

Stakeholder Alignment and Sign-Off

Align goals with FP&A and the business units

Define the management reporting package

Present the goals package to the CFO

Revise and resubmit the goals package

Publish the final goals and reporting calendar

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