Free Checklist Templates for Compliance

Compliance

OR

Employee Offboarding Checklist

Pre-Departure Planning

Confirm separation type and final work date

Determine producer licensing status

Notify the agency principal and operations lead

System and Data Access Revocation

Disable email, SSO, and MFA tokens

Revoke AMS user access

Revoke carrier portal and rating engine logins

Remove access to PolicyCenter and ClaimCenter

Rotate shared credentials and service accounts

Disable VPN and remote-access certificates

Book of Business and Knowledge Transfer

Reassign account ownership in the AMS

Document open submissions and pending binds

Hand off open claims and reserve worksheets

Transfer the 90-day renewal expiration report

Schedule warm introductions for key insureds

Final Payroll, Benefits, and Property Return

Process the final paycheck per state wage law

Send the COBRA election notice

Reconcile commission advances and chargebacks

Collect laptop, badge, and corporate cards

Conduct the exit interview

Compliance and Legal Closeout

Terminate carrier appointments through NIPR

File state-specific producer separation notices

Review NDA, non-solicit, and non-compete obligations

Archive NPI access logs per retention schedule

Update HR records with termination details

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Employee Records File Audit

Identity and Personal Information

Verify legal name matches SSA records

Confirm I-9 Sections 1 and 2 on file

Remediate I-9 deficiencies

File W-4 and state withholding forms

Record current address and contact details

File FCRA disclosure and authorization

Employment and Compensation Records

Document hire date and original offer letter

File signed handbook acknowledgment

Confirm FLSA classification on file

File benefits enrollment confirmations

Log FMLA and state PFML leave history

File performance review and PIP history

Training and Development Records

File state-mandated harassment training certificates

Record professional certifications and licenses

Log business travel and reimbursement records

Conduct and Investigation Files

File disciplinary actions and PIP documentation

Document grievance reports received

Confirm investigation files exist

Restrict investigation file access to authorized HR

File signed NDA and IP assignment agreements

Supplemental Records

Capture current emergency contact information

Record dependents for benefits eligibility

Log job transfer and promotion history

Document union participation status

Confirm accommodation requests on file

Document ADA interactive process records

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Employee Records Management Checklist

Personal Information & Emergency Contacts

Verify legal name against I-9 documents

Capture home address and contact channels

Collect the signed emergency contact form

Onboarding Documentation

Countersign the offer letter and job description

Complete Form I-9 within three business days

Collect Form W-4 and state withholding forms

Enroll in benefits and direct deposit

Licensing & Background Screening

Classify the role as exempt or non-exempt

Verify whether a real estate license is required

Record license number and expiration

Confirm whether the role drives between properties

Pull the MVR and insurance certificate

Run background and credit screening

Training & Performance

File the Fair Housing training certificate

Document anti-harassment and safety training

Document the 90-day performance review

Log disciplinary actions or recognition

Compliance Records & Retention

File OSHA injury and accommodation records

Audit the personnel file annually

Apply the retention schedule on separation

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Employee Termination Checklist

Pre-Separation Preparation

Confirm separation type and effective last day

Verify state final-pay timing rules

Draft severance agreement and release

Confirm WARN Act notice timing

Schedule the termination meeting

Termination Meeting and Property Return

Conduct the termination meeting

Collect ID badge, keys, and parking pass

Recover laptop, phone, and equipment

Retrieve company credit and fuel cards

System and Access Removal

Disable building and badge access

Suspend email and set up forwarding

Revoke HRIS, SSO, and VPN access

Remove access to SaaS and cloud tools

Rotate shared credentials and API keys

Final Pay and Benefits Notices

Calculate final paycheck and PTO payout

Issue final pay per state timing rules

Send COBRA election notice

Provide 401(k) distribution options

Deliver state unemployment information

Records and Post-Separation Wrap-Up

Update HRIS to terminated status

File signed separation documents

Conduct exit interview

Notify team and update distribution lists

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Employee Termination Checklist

Pre-Separation Legal Review

Classify the termination type

Verify state final-pay timing rules

Draft the separation agreement with counsel

Confirm WARN Act obligations for the RIF

Separation Day Execution

Hold the separation meeting with the manager

Disable system access at meeting start

Collect badge, laptop, keys, and company property

Deliver the written separation packet

Final Pay and Benefits Compliance

Issue final pay per state timing rules

Pay out accrued PTO per state law

Send the COBRA election notice

Process the 401(k) distribution paperwork

Records, Reporting, and Notifications

Update HRIS to terminated status

Notify payroll, benefits broker, and 401(k) admin

File the I-9 per the retention rule

Notify the department and update the org chart

Post-Separation Follow-Up

Conduct the exit interview

Send post-separation NDA and non-solicit reminders

Confirm COBRA election within the 60-day window

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Employee Termination Checklist

Pre-Departure Planning

Confirm departure type and effective date

Identify registration and licensing status

Identify assigned client book and accounts

Assign successor advisor for each household

HR and Payroll

Conduct the exit interview

Process final payroll and deferred compensation

Issue COBRA and benefits continuation notices

Collect company property and badges

IT and Information Security

Disable email, SSO, and core system access

Revoke custodian and trading platform access

Retrieve and image company devices

Preserve archived communications for retention

Rotate shared credentials and API keys

Regulatory Filings and Compliance

File Form U5 within 30 days

Update Form ADV Schedule A and Part 2B

Terminate state IAR and insurance registrations

Confirm restrictive covenant and Reg S-P obligations

Document the supervisory file closeout

Finance Reconciliation

Review trading activity for the prior 90 days

Reconcile commissions, fees, and forgivable notes

Cancel corporate card and expense accounts

Client Transition

Send client notification letter to the affected book

Update custodian rep codes and CRM ownership

Schedule successor introduction meetings

Confirm whether any clients have followed the departing advisor

Open a non-solicit review if outflows occurred

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Expense Management Checklist

Policy and Compliance Setup

Refresh the firm's T&E expense policy

Confirm FINRA Rule 3220 gift limits

Map expense categories to GL accounts

Publish the policy to the firm intranet

Document retention rules per SEC 204-2

Expense Submission

Submit expenses via Concur or Ramp

Attach itemized receipts to every line

Categorize each expense by type

Note business purpose and attendees

Submit before the monthly cutoff

Review and Approval

Supervisor reviews the report for accuracy

Run compliance review on G&E entries

Apply Rule 3220 gift limit check

CCO signs off on flagged items

Return NIGO reports to the submitter

Reimbursement and Payment

Export approved reports to the GL

Process ACH reimbursement via payroll

Notify the employee of payment date

Reconcile corporate card statements

Audit and Reporting

Archive reports per SEC Rule 204-2

Run monthly expense variance analysis

Update the gift and entertainment log

Prepare quarterly expense report for the CCO

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Fair Housing Compliance Audit

Advertising and Marketing Audit

Audit MLS listings for prohibited language

Verify Equal Housing Opportunity logo placement

Review social media for steering risks

Submit advertising corrections to the MLS

Applicant and Buyer Screening Review

Pull the quarter's application files

Verify screening criteria applied uniformly

Log reasonable accommodation requests

Staff Training and Policy

Schedule the annual fair housing training

Confirm NAR Fairhaven module completion

Distribute the updated non-discrimination policy

Property Policies and Accessibility

Review occupancy standards against HUD guidance

Audit common areas for ADA accessibility

Verify the fair housing poster is posted

Maintenance Request Review

Pull the quarterly maintenance log

Compare response times across tenant files

Document reasonable modification requests

Complaint Intake and Resolution

Review the quarterly complaint log

Capture any HUD or state agency inquiry

Notify the broker and outside counsel

Sign off on the quarterly audit

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Fair Housing Compliance Checklist

Fair Housing Training

Verify staff completed annual FHA training

Schedule make-up training for any gaps

Cover state and local protected classes

Archive training certificates in personnel files

Advertising and Marketing Review

Audit listing copy for discriminatory language

Pull and rewrite flagged listings

Confirm Equal Housing Opportunity logo on all media

Review syndication channels for selective marketing

Tenant Screening and Selection

Document the written screening criteria

Verify source-of-income compliance in screening

Sample-audit recent application decisions

Confirm FCRA adverse action notices were sent

Reasonable Accommodations and Modifications

Review the accommodation request log

Audit assistance animal handling

Refund any improperly charged pet fees

Verify modification cost allocation rules

Property Policies and Procedures

Review occupancy standards against HUD guidance

Confirm uniform application of community rules

Update lease addenda for current disclosures

Complaint Handling and Resolution

Review the fair housing complaint log

Escalate open complaints to fair housing counsel

Refresh the complaint intake process

Sign off on the annual compliance review

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Financial Audit Checklist

Audit Planning and Engagement

Pull the prior-year audit report and management letter

Confirm external auditor independence under MAR

Set materiality and scoping thresholds

Issue the PBC list to controllership

Financial Statement Audit

Reconcile the trial balance to the Annual Statement

Test loss and LAE reserve adequacy

Confirm reinsurance recoverables with cedants

Verify written and earned premium cutoff

Test investment portfolio classification and valuation

Regulatory Compliance Testing

Review Holding Company filings (Form B, D, F)

Test producer licensing and NPN appointments

Verify OFAC screening at issuance and at claim payment

Determine whether NYDFS Part 500 applies

Test Part 500 cybersecurity controls

Confirm Anti-Fraud Plan filings are current

Operational Controls Review

Walk through the underwriting authority controls

Test claims handling timeliness

Review SOC 2 Type II reports for key vendors

Sample subrogation files for notice timing

Verify policy and claim file retention schedules

Findings and Sign-Off

Draft the audit findings and management letter

Hold the audit committee exit conference

Finalize the audit and issue the opinion

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Financial Services IT Security Audit Checklist

Access Control & Identity

Run quarterly access review across custody platforms

Verify MFA enforcement on critical advisor systems

Audit terminated-employee deprovisioning timelines

Disable stale accounts and document closure

Inventory privileged and service accounts

Review SLOA and wire-authority access logs

Data Protection & Privacy

Verify encryption at rest and in transit

Test backup restoration for client records

Audit DLP rules for client NPI

Review document classification in advisor portals

Validate Identity Theft Red Flags Program

Network & Endpoint Security

Review firewall ruleset and external attack surface

Verify EDR coverage on advisor endpoints

Test segmentation between trading and general LAN

Audit wireless configuration in branch offices

Confirm VPN posture for remote advisors

Incident Response & Communications

Review IR playbook and tabletop results

Audit off-channel communications archiving

Test breach notification timeline against Reg S-P

Confirm cyber insurance coverage and broker contact

Document incidents during the audit period

Verify Reg S-P client notifications met timing

Compliance & Audit Reporting

Map controls to SEC Reg S-P and GLBA

Verify Rule 17a-4 retention on archived comms

Review vendor cybersecurity due diligence files

Compile findings and severity for CCO review

Build remediation plan for high-severity findings

Capture CCO sign-off on audit report

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Financial Services Project Initiation Checklist

Project Planning & Charter

Define project scope and deliverables

Identify executive sponsor and steering committee

Draft the project charter

Build the milestone timeline

Estimate budget and FTE allocation

Risk Assessment

Map operational and client-impact risks

Score impact and likelihood per risk

Determine if the project is a material change

Document mitigation strategies in the RAID log

Assign named risk owners

Compliance & Regulatory Review

Identify applicable regulators and rules

Run pre-launch compliance assessment with the CCO

File the Form ADV Part 2 amendment

Refresh advertising and marketing collateral

Establish books-and-records retention plan

Stakeholder Communication

Build the communication plan and RACI

Schedule the weekly steering committee

Determine if clients need direct notification

Send the client notification letter

Set up advisor and operations training

Technology & Infrastructure Readiness

Inventory required platform integrations

Verify custodian and clearing API readiness

Review Reg S-P data security controls

Confirm electronic communication archiving

Sign off on go-live readiness

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Financial Statement Review Checklist

Pre-Review Preparation

Pull the trial balance and supporting schedules

Reconcile custodian and operating bank accounts

Confirm the GL period is closed and locked

Balance Sheet Review

Tie cash balances to bank reconciliations

Verify advisory fee receivable aging

Roll forward fixed assets and depreciation

Test accrued liabilities and contingencies

Reconcile equity and partner distributions

Income Statement Review

Validate advisory fee revenue recognition

Review compensation and benefits accruals

Compare period-over-period variances

Document explanations for material variances

Verify the tax provision calculation

Cash Flow Statement Review

Tie operating cash flows to net income

Review investing activities and capex

Confirm financing activities and credit line activity

Reconcile ending cash to the balance sheet

Notes and Disclosures

Review significant accounting policies note

Check related party transaction notes

Confirm subsequent events through report date

Draft the subsequent events disclosure

Verify financial instrument fair value disclosures

Regulatory Reconciliation and Sign-Off

Reconcile to Form ADV Part 1A regulatory AUM

Verify custody rule and net worth positions

Document review adjustments and PBC items

CFO and CCO sign off on the financials

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GDPR Compliance Checklist

Records of Processing and Lawful Basis

Refresh the Article 30 records of processing

Document lawful basis for each activity

Audit data minimization in collected fields

Data Subject Rights Mechanisms

Test the DSAR intake and fulfillment workflow

Verify erasure reaches backups and replicas

Confirm marketing opt-out propagates downstream

Controller and Processor Obligations

Review sub-processors and signed DPAs

Verify encryption at rest and in transit

Determine whether a DPO is required

Designate the DPO and publish contact

Breach Response Readiness

Run a breach response tabletop exercise

Classify the scenario's risk to data subjects

Draft the 72-hour authority notification

Notify affected data subjects

Data Protection Impact Assessment

Run a DPIA on the highest-risk processing change

Record residual risk after mitigations

Consult the supervisory authority before launch

International Data Transfers

Review Standard Contractual Clauses for transfers

Verify adequacy decisions for destination countries

Confirm BCRs or Article 49 derogations on file

Training and Documentation

Deliver the GDPR refresher to engineering

Capture training attendance and quiz results

Update the privacy policy and changelog

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GDPR Compliance Review Checklist

Data Mapping and DPIA

Map personal data flows across engagements

Refresh the Article 30 record of processing

Screen for high-risk processing

Complete the DPIA for high-risk activities

Review prior DPIAs for material changes

Policies and Documentation

Refresh the firm's data protection policy

Confirm the lawful basis for each activity

Document retention schedules by record type

Update the privacy notice on the client portal

Data Subject Rights

Test the DSAR intake form

Verify identity-verification steps for requestors

Walk through the erasure and portability workflows

Confirm SLA tracking against the 30-day window

Technical and Organizational Security

Confirm encryption on the client portal

Audit access controls in tax and GL software

Run an incident-response tabletop exercise

Verify laptop encryption and MFA coverage

Staff Training and Awareness

Deliver the annual GDPR refresher

Record the training completion roster

Follow up with non-completers

Sub-Processors and Transfers

Inventory sub-processors handling client data

Verify Article 28 DPAs are signed and current

Remediate missing or outdated DPAs

Review SCCs for non-EEA transfers

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HIPAA Compliance Checklist

Risk Analysis and Management

Inventory ePHI systems and data flows

Conduct a NIST 800-30 risk assessment

Document the risk treatment plan

Policies and Procedures

Update the HIPAA Security Rule policy set

Publish policies to the employee handbook

Capture workforce policy acknowledgments

Workforce Training

Deliver annual HIPAA awareness training

Run role-based training for engineers handling ePHI

Verify training completion in the LMS

Business Associate Agreements

Inventory subprocessors that touch ePHI

Execute or renew BAAs with each subprocessor

Review subprocessor SOC 2 and HITRUST reports

Incident Response and Breach Notification

Maintain the ePHI breach response runbook

Run a tabletop exercise on the breach playbook

Confirm whether a reportable breach occurred this cycle

Notify affected individuals within 60 days

Submit the HHS breach report

Notify prominent media outlets in the state

Technical Safeguards

Enforce least-privilege IAM on ePHI systems

Verify encryption at rest and TLS 1.2+ in transit

Centralize audit logs in the SIEM

Physical Safeguards

Enforce MDM on workstations accessing ePHI

Document the workstation and media disposal procedure

Validate cloud provider physical controls via SOC 2

Documentation and Recordkeeping

Capture compliance artifacts in the evidence repository

Retain HIPAA records for at least six years

Schedule the quarterly evidence review

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HR Audit Checklist

Recruitment and Selection

Pull applicant flow and EEO-1 data

Confirm federal contractor status

Audit OFCCP affirmative action plan

Sample I-9 forms for compliance

Review FCRA background-check disclosures

Onboarding and Training

Audit new-hire handbook acknowledgments

Verify harassment prevention training records

Confirm state-mandated training compliance

Review onboarding completion rates

Performance Management

Sample annual review documentation

Verify PIP and corrective-action files

Confirm goal alignment with company OKRs

Check manager calibration training records

Employee Relations

Audit the grievance and complaint log

Review harassment investigation files

Confirm terminations during the period

Review COBRA notification timeliness

Verify EEOC and FMLA workplace postings

Compensation and Benefits

Run pay equity analysis by demographic

Document remediation plan for pay gaps

Audit FLSA exempt classifications

Verify Form 5500 ERISA filings

Confirm ACA 1094-C and 1095-C accuracy

Compile final audit report with findings

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HR Compliance Checklist

Employee Onboarding

Verify Form I-9 within three business days

Collect W-4 and state withholding forms

Distribute the employee handbook for signature

Set up payroll record and direct deposit

Schedule orientation and required training

Workplace Safety and Compliance

Post required federal and state notices

Deliver site-specific safety training

Issue PPE and document acknowledgment

Update the OSHA 300 injury and illness log

Walk through emergency evacuation routes

Employee Benefits Management

Confirm benefits eligibility per plan documents

Present medical, dental, and vision plans

Enroll the employee in the 401(k) plan

Capture COBRA qualifying-event status

Issue the COBRA election notice

Performance Management

Schedule 30, 60, and 90-day check-ins

Set written SMART goals in the HRIS

Conduct the annual performance review

Document review outcome in the personnel file

Initiate Performance Improvement Plan

Employee Relations

Log grievances in the case-management system

Verify anti-harassment training completion

Conduct quarterly stay interviews

Conduct exit interview at separation

Retain personnel records per recordkeeping rules

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HR Compliance Checklist

Hiring and Screening Compliance

Post the role with EEO-compliant language

Verify state property management licensing for the role

Run an FCRA-compliant background screen

Send the FCRA adverse action notice

Complete Form I-9 within three business days

Worker Classification and Onboarding

Classify the role under the ABC test

Issue the offer letter with at-will language

Capture employee handbook acknowledgment

Deliver Fair Housing training to onsite staff

Schedule sexual harassment prevention training

Wage, Hour, and Benefits

Audit FLSA exempt status across the portfolio

Set on-call and after-hours pay rules for maintenance

Confirm workers' comp class codes for maintenance techs

Enroll W-2 staff in ACA and ERISA benefits

Recordkeeping and Reporting

Store I-9s in a segregated locked file

Retain payroll records per the FLSA three-year rule

File the EEO-1 component report

Maintain the OSHA 300 log of recordable incidents

Workplace Safety and OSHA

Walk the maintenance shop with the lead tech

Train staff on the EPA RRP rule for pre-1978 units

Issue PPE with a documented training log

Post the OSHA 'It's the Law' poster at every site

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HR Compliance Checklist

Employee Onboarding Compliance

Complete Form I-9 within three business days

Collect signed W-4 and state withholding forms

Run background check through the approved vendor

Deliver harassment prevention training to the new hire

Payroll and Wage Compliance

Classify the position as exempt or non-exempt

Confirm pay rate meets the local minimum wage

Audit overtime calculations against time records

Enroll the hire in benefits within the eligibility window

Recordkeeping and Postings

Post current federal and state labor law notices

File I-9 forms separately from personnel records

Retain payroll records for the FLSA-required period

Restrict personnel files to authorized HR staff

Workplace Safety and OSHA

Review OSHA 300 log for the quarter

Conduct an emergency evacuation drill on each shift

Update the SDS binder against current chemical inventory

Report recordable injuries on Form 301 within seven days

Equal Employment Opportunity

Confirm EEO policy is current in the handbook

Confirm headcount for federal reporting thresholds

File the EEO-1 Component 1 report

Train managers on handling discrimination complaints

Leave and Accommodation

Confirm FMLA eligibility for the requesting employee

Issue the FMLA Notice of Eligibility within five days

Document the ADA interactive accommodation discussion

Track intermittent leave against the 12-week entitlement

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Insurance Compliance Checklist

Privacy and Data Security

Review the WISP against GLBA Safeguards Rule

Verify MFA on remote network access

Confirm NPI access is role-restricted

Open remediation tickets for access exceptions

Refresh the annual privacy notice

Producer Licensing

Pull the NIPR producer roster

Verify state appointments match bound business

Check CE compliance for each producer

Notify producers of CE remediation deadlines

Reconfirm carrier binding authority limits

Filings and Market Conduct

Reconcile SERFF rate and form filings

Refresh state Anti-Fraud Plan filings

Audit Texas Chapter 542 prompt-pay timing

Sample claim files for ROR and denial language

OFAC and Vendor Risk

Re-screen claim payees against the OFAC SDN list

File OFAC blocked-property report

Refresh the Part 500 vendor risk inventory

Compliance Training and Attestation

Assign quarterly NPI handling training

Capture producer commission-disclosure attestations

Sign off on the quarterly compliance report

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Insurance Marketing Campaign Checklist

Audience Research and Compliance Foundation

Pull book demographics from the AMS

Segment renewals by line and persistency

Review competitor SERFF filings for rate context

Confirm GLBA opt-out status before outreach

Campaign Goals and Budget

Set SMART goals tied to written premium

Define KPIs for quote-to-bind and persistency

Allocate budget by line and channel

Re-allocate budget after leadership review

Build timeline with state filing windows

Content and Creative Development

Draft messaging aligned with filed policy forms

Design creative within carrier brand guidelines

Confirm whether state DOI ad filing is required

Submit advertising materials to the state DOI

Test creative with a producer panel

Channel Selection and Activation

Scrub outbound lists against the National DNC registry

Schedule sends within TCPA contact windows

Configure UTM tracking and CRM attribution

Brief producers on lead handoff SLAs

Performance Measurement and Analysis

Monitor quote-to-bind and lead CPA weekly

Analyze loss ratio of new business written

Prepare campaign report for the agency principal

Run post-campaign retrospective with underwriting

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Insurance Program Initiation Checklist

Program Definition

Define program appetite and class codes

Document target loss and combined ratio

Set program limits and retention structure

Identify states for initial rollout

Confirm filing posture per state

Capacity and Resource Allocation

Identify program underwriters and binding authority

Confirm carrier paper and treaty capacity

Estimate program budget and acquisition costs

Configure rating engine and policy admin

Plan capacity and continuity contingencies

Regulatory Risk Assessment

Conduct compliance risk assessment

Register with surplus-lines stamping offices

Develop mitigation for filing delays

Establish market conduct readiness

Assign Anti-Fraud Plan filing owner

Producer and Stakeholder Engagement

Identify producer distribution channels

Build communication plan for appointed agents

Schedule kickoff with compliance and actuarial

Open feedback channel with wholesale partners

Document commission structure and disclosures

Approval and Governance

Prepare SERFF filing package

Wait for prior-approval state review

Submit to Holding Company committee

Set up program review cadence

Define change management for rate and form updates

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Insurance Program Launch Execution Checklist

Risk and Compliance Assessment

Build the program risk register

Score each risk by severity and likelihood

Draft mitigation plans for high-severity risks

Assign accountable risk owners

Schedule the Part 500 risk review cadence

Stakeholder and Carrier Engagement

Map fronting carrier, reinsurer, and TPA contacts

Draft the cedant and producer communication plan

Hold the weekly carrier program sync

Collect producer feedback on appetite and forms

Capture the binding authority decision

Resubmit the binding authority package

Resource and System Allocation

Match underwriting staff to authorized lines

Allocate budget across filings and IT build

Provision PolicyCenter and ClaimCenter sandboxes

Track staffing burn against the bind-date plan

Plan contingency staffing for surplus-lines volume

Launch Timeline and SERFF Filings

List SERFF filing milestones per state

Build the Gantt with form-and-rate dependencies

Assign filing analysts to each state DOI

Record the first prior-approval state's approval

Adjust the bind date for any lagging state

Quality Assurance and Audit Readiness

Define ACORD form data-quality criteria

Build the QA plan covering bind through FNOL

Run the pre-launch market-conduct mock audit

Log defects in the launch issue tracker

Sign off on launch readiness

Remediate blockers and reconvene the panel

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Insurance Program Launch Project Monitoring Checklist

Project Initiation

Define the program scope and target lines

Identify stakeholders and approval gates

Draft the program charter and binding authority

Assemble the cross-functional project team

Run the kickoff with SERFF timeline review

Risk and Compliance Review

Catalog state filing postures for target states

Confirm Anti-Fraud Plan filing requirements

Submit Anti-Fraud Plan filings to applicable DOIs

Verify NYDFS Part 500 vendor risk scope

Maintain the program risk register

Budget and Resources

Estimate program costs including SERFF and reinsurance

Build the budget across UW, claims, and distribution

Allocate PolicyCenter configuration resources

Track spend against the program budget

Approve change orders above the variance threshold

Quality Assurance

Define quality criteria for rate, form, and system

Run UAT against ACORD form scenarios

Reconcile rate calculations against filed manuals

Triage UAT defects by severity

Hold a go/no-go review for unresolved criticals

Communication and Reporting

Establish the stakeholder communication cadence

Hold weekly steering committee status meetings

Publish progress reports to the executive sponsor

Escalate slipped milestones within 24 hours

Conduct the 30-day post-launch retrospective

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