Free Checklist Templates for Financial Services

Financial Services

OR

Accounts Receivable Checklist

Client Billing Setup

Verify client identity and CIP documentation

Capture the executed advisory agreement

Configure the client in the billing system

Confirm fee debit authorization at the custodian

Fee Calculation and Invoicing

Pull period-end AUM from the custodian feed

Run the quarterly fee calculation

Review the fee proof report

Submit fee debits to the custodian

Deliver fee invoices and disclosures to clients

Cash Application and Reconciliation

Confirm custodian fee receipts settled

Post direct-bill ACH and check receipts

Reconcile fee revenue to the operating account

Document any fee-billing errors in the error log

Aging and Collections

Generate the AR aging report

Send the 30-day past-due reminder

Place a verbal call on 60-day past-due accounts

Recommend write-off or termination on 90+ day balances

Reporting and Sign-Off

Prepare the monthly AR dashboard for management

Review fee yield against the firm benchmark

Capture CFO sign-off on the close

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Advisor and Staff Onboarding Checklist

Pre-Day-1 Setup

Collect signed offer letter and I-9 documents

Capture direct deposit and payroll setup

Run BrokerCheck and prior-firm U5 review

Order fingerprinting through approved vendor

Licensing and Registration

File Form U4 in FINRA Web CRD

Confirm required Series exam status

Schedule outstanding Series exams

Register IAR in client states via IARD

Apply for state insurance producer lines

Day 1 Orientation and Provisioning

Issue laptop and enroll in MFA

Provision CRM and custodian portal access

Provision archived email and compliant texting

Walk the new hire through the office

Schedule benefits enrollment with HR

Compliance Training and Attestations

Complete AML and BSA training

Walk through Reg BI and Form CRS procedures

Acknowledge code of ethics and personal trading policy

Sign communications and social media policy

Hold enhanced disclosure interview with the CCO

Supervised Practice

Shadow three client meetings with a senior advisor

Walk through models and the rebalance workflow

Review the supervisory chain and OSJ escalation

30/60/90-Day Milestones

Hold 30-day check-in with supervising principal

Complete CCO sign-off on the new-hire file

Hold 90-day performance and goals review

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Advisory Firm Operational Efficiency Review

Workflow & Process Optimization

Map NIGO sources from last quarter's openings

Audit ACATS turnaround against custodian SLA

Identify automation candidates in fee billing

Refresh SOPs for account opening and money movement

Run a Lean review on the rebalance workflow

Capacity & Resource Allocation

Review advisor-to-household ratios

Assess CSA workload across the book

Confirm IAR continuing education status

Decide outsourcing scope for paraplanning or trading

Data Quality & Reporting Infrastructure

Reconcile portfolio system to custodian feeds

Audit CRM hygiene on required client fields

Verify performance reporting against GIPS calculations

Decide on advanced analytics tooling investment

Schedule analytics vendor evaluation

Client Experience & Service Cadence

Pull client NPS results from the past quarter

Review service cadence adherence in the CRM

Audit response-time SLAs across channels

Refresh CSAs on updated service standards

Compliance & Risk Oversight

Confirm Form ADV Part 2 delivery completion

Verify email and text archiving coverage

Run a mock SEC exam on books and records

Document findings and remediation owners

Sign off on the operational efficiency review

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AML / BSA Compliance Checklist

Customer Identification & CDD

Collect CIP identifying information

Run electronic identity verification

Collect beneficial owners on entity accounts

Document source of funds and occupation

Screen for PEP status

Apply enhanced due diligence on PEP relationships

Transaction Monitoring

Tune monitoring rules and thresholds

Work the daily alert queue

Investigate structuring patterns under $10,000

Document investigation outcome

Sanctions Screening

Screen all parties against the OFAC SDN list

Screen for PEP and adverse media

Adjudicate potential OFAC matches

Block and report confirmed matches

Customer Risk Rating

Apply the customer risk model

Assign final risk tier

Set the EDD review cadence

Apply enhanced monitoring for high-risk customers

Regulatory Reporting & Recordkeeping

File CTR within 15 days of the reportable transaction

File SAR within 30 days of detection

Conduct annual independent BSA testing

Retain BSA records for five years

Brief the board on BSA program status

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Annual Budget Planning Checklist

Cycle Kickoff & Baseline

Pull three years of P&L actuals

Confirm the fiscal year and milestone dates

Document the planning assumptions

Revenue & Fee Forecasting

Project ending AUM by client segment

Model advisory fees against the ADV Part 2A schedule

Forecast planning and one-time engagement fees

Capture custodian revenue share and billing offsets

Operating Expense Review

Categorize prior-year G&A by GL account

Model occupancy and office overhead

Quote E&O and fidelity bond renewals

Flag vendor contracts up for renegotiation

Headcount & Compensation

Forecast advisor and CSA hiring needs

Review producer comp grids and splits

Size the bonus pool against revenue targets

Build the recruiting and onboarding reserve

Technology & Vendor Spend

Inventory current tech-stack contracts

Budget archiving and supervision tooling

Decide whether to migrate custodians

Scope the custodian migration costs

Compliance & Regulatory Reserves

Reserve for ADV and Form CRS updates

Budget the mock audit and outsourced CCO engagement

Reserve for cybersecurity controls and pen test

Set the regulatory contingency reserve

Approval & Rollout

Compile the budget package for partner review

Walk the CCO through compliance line items

Get managing partner sign-off

Address partner revision feedback

Distribute allocations to department heads

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Annual Client Review Checklist

Pre-Meeting Preparation

Pull the household file from the CRM

Generate the performance and drift report

Refresh the financial plan in eMoney or RightCapital

Schedule the review meeting with the client

KYC and Profile Refresh

Verify legal name, address, and contact information

Update employment, marital status, and dependents

Re-screen all parties against the OFAC SDN list

Refresh the risk tolerance questionnaire

Portfolio and Planning Review

Review allocation drift against the target model

Identify tax-loss harvesting opportunities

Recommend a model change and document the rationale

Check RMD status for IRA accounts

Process the outstanding RMD distribution

Compliance and Documentation

Confirm Form ADV Part 2 delivery for the year

Verify Form CRS delivery for any new recommendations

Update beneficiary designations across accounts

Escalate the AML hit to the CCO

CCO sign-off on the annual review file

Client Wrap-Up and Next Steps

Send the meeting summary and action items

Capture client feedback on the review

Schedule the next annual review

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Annual Compliance Program Review

Risk Assessment & Monitoring

Conduct the annual compliance risk assessment

Rank risks by business line and severity

Update the firm compliance risk matrix

Policies & Procedures Review

Review the compliance manual against current rules

Identify Form ADV Part 2A material changes

File the ADV amendment through IARD

Refresh the code of ethics and personal trading policy

Verify books and records retention controls

Training & Education

Deliver annual compliance training to all personnel

Track CE credits for IARs and registered reps

Archive signed training acknowledgments by employee

Communications & Marketing Review

Audit advertising under the SEC Marketing Rule

Verify email and text archiving coverage by user

Spot-check off-channel communications for violations

Internal Controls & Testing

Test custody rule controls and SLOA safeguards

Run quarterly forensic transaction testing

Log compliance findings in the tracker

Escalate material findings to senior management

Sign off on the annual compliance review

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Annual Financial Reporting Checklist

Year-End Close and Reconciliation

Reconcile custodian fee debits to invoices

Reconcile bank and operating accounts

Verify trade error account is at zero

Confirm AUM totals against custodian feed

Lock prior-year period in the GL

Financial Statement Preparation

Prepare the GAAP balance sheet

Prepare the income statement

Prepare the statement of cash flows

Draft footnote disclosures

Confirm net capital / minimum financial requirement

Custody Rule and Surprise Exam

Determine whether the firm has custody

Engage a PCAOB-registered firm for the surprise exam

Audit SLOAs against the seven no-action conditions

Internal Review and Sign-Off

CFO reviews draft statements with the CCO

Walk principals through the financials

Document and route any discrepancies

Investigate and remediate flagged items

Capture management sign-off on final statements

External Audit

Deliver the PBC list to external auditors

Respond to auditor PBC follow-ups

Walk through the management letter

Sign the management representation letter

Regulatory Filings

File Form ADV annual amendment via IARD

Deliver Form ADV Part 2A to existing clients

Refresh Form CRS and post the new version

Submit state notice filings and renewal fees

Archive the final filing package

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Annual Risk Assessment Checklist

Regulatory Compliance Review

Inventory applicable SEC, FINRA, and state rules

Confirm annual Form ADV Part 2 delivery

Audit Form CRS delivery records

Review Reg BI best-interest documentation

Log open compliance findings

Build a remediation plan with named owners

Operational Risk Assessment

Pull NIGO and trade-error logs

Review wire and ACH callback controls

Refresh the vendor SOC 2 inventory

Audit personal trading and gift logs

Update the operational risk register

Cybersecurity Risk Review

Scan advisor endpoints for vulnerabilities

Verify MFA on custodian and CRM access

Run a firmwide phishing simulation

Confirm email and text archiving coverage

Refresh the incident response runbook

Schedule remedial security training

Investment and Financial Risk Analysis

Review portfolio drift against risk profiles

Stress-test portfolios for rate and equity shocks

Audit SLOAs for custody-rule compliance

Flag concentrated positions and alternatives

Reconcile quarterly fee-billing calculations

Business Continuity and Sign-Off

Refresh the critical-function and RTO matrix

Run a BCP tabletop with key vendors

Test custodian failover and CRM backup

Verify offsite document and credential access

Brief the CCO on findings and remediations

Sign off on the annual risk assessment

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Annual Risk Management Review Checklist

Regulatory Compliance

File the ADV Part 1 annual amendment

Deliver ADV Part 2A to existing clients

Audit the Form CRS delivery log

Reconcile IAR state registrations against CRD

Log non-compliance incidents from this cycle

Conduct root cause analysis on each incident

Business Continuity & Disaster Recovery

Tabletop the incident response plan

Run a failover drill on portfolio systems

Verify offsite backup restoration end-to-end

Refresh the key-person succession memo

Risk Identification & Assessment

Refresh the enterprise risk register

Score inherent and residual risk per category

Document top five risks for CCO review

Set KRIs and monitoring cadence for top risks

Internal Controls

Reconcile quarterly fee billing against custodian debits

Review SLOAs for custody-rule safeguards

Spot-check trade tickets for principal review

Run the G&E and personal-trading log review

Cyber Security

Refresh the Identity Theft Prevention Program

Run a firmwide phishing simulation

Schedule targeted phishing remediation training

Sample the archive for off-channel communications

Verify MFA on custodian portals and CRM

Test the ransomware response runbook

Vendor Management

Collect SOC 2 Type II reports from critical vendors

Review vendor inventory for new high-risk additions

Run enhanced due diligence on new high-risk vendors

Confirm vendor contracts and renewal dates

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Anti-Money Laundering (AML) Checklist

Customer Identification Program (CIP)

Collect required CIP identifiers

Verify identity through documentary or non-documentary methods

Run OFAC and sanctions screening on all parties

Block account funding pending OFAC resolution

Customer Due Diligence and Risk Rating

Collect beneficial ownership for entity accounts

Document expected source of funds and activity

Assign customer risk rating

Perform Enhanced Due Diligence on high-risk customers

Transaction Monitoring and Investigation

Review automated monitoring alerts daily

Investigate flagged transactions and document rationale

File CTR for currency transactions over $10,000

Convene SAR review committee

File SAR within 30 days of detection

Recordkeeping and Ongoing Review

Refresh CDD information at the risk-based cadence

Verify wire instruction changes via call-back

Retain BSA records for five years

Training and Independent Audit

Deliver annual BSA/AML training to all staff

Test staff comprehension and document completion

Commission independent BSA audit

Track audit findings to remediation

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Asset Allocation Checklist

Investment Objectives & IPS

Confirm goals and time horizon

Capture risk tolerance score

Set target return and constraints

Identify legal and tax constraints

Update and deliver the IPS

Capital Markets Analysis

Pull capital market assumptions

Review economic and rate outlook

Review correlation and diversification matrix

Map liquidity tiers across asset classes

Document risk-return profile per sleeve

Strategy Construction

Select strategic asset classes

Set target allocation percentages

Run mean-variance optimization

Define drift bands and rebalance triggers

Submit model to investment committee

Implementation & Trading

Revise model per IC feedback

Pick tickers within each sleeve

Generate trade tickets in the rebalancer

Run pre-trade compliance checks

Resolve compliance exception with CCO

Release block trade to the custodian

Monitoring & Client Review

Reconcile fills against allocations

Generate Black Diamond performance report

Hold quarterly client review

Trigger off-cycle IPS revision

File the quarterly review package

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Business Continuity Checklist

Plan Scope & Risk Assessment

Confirm BCP scope against Rule 206(4)-7

Run the annual business impact analysis

Review last year's incident log

Staffing & Succession

Identify essential personnel by function

Name a backup for each essential role

Document the gap remediation plan

Refresh emergency contact roster

Systems & Equipment Recovery

Inventory critical advisory systems

Verify laptop and MFA recovery procedures

Confirm alternate worksite arrangements

Data & Records Continuity

Catalog Rule 204-2 books and records

Test the email and text archive restore

Open a remediation ticket for archive gap

Verify offsite custodian data extracts

Client & Vendor Communication

Update the client disruption notice template

Refresh custodian and key vendor contacts

Confirm the BCP is posted on Form ADV Part 2A

Tabletop Test & Approval

Run a tabletop disruption exercise

Log tabletop findings and assign owners

Obtain CCO and principal sign-off

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Business Continuity Plan Checklist

Risk Assessment and Business Impact Analysis

Map critical advisory and trading functions

Score disruption scenarios against RTO and RPO

Quantify revenue and client impact per outage hour

Identify single points of failure across vendors

Rank critical functions by recovery priority

Plan Development and Strategy

Document recovery strategies per critical function

Define alternate site and remote-work failover

Assign BCP roles across operations and compliance

Compile the emergency contact tree

Draft client and regulator communication scripts

Training and Testing

Train staff on BCP roles and call tree

Collect annual vendor BCP attestations

Run tabletop exercise on cyber and outage scenarios

Execute full failover drill with the custodian

Open remediation tickets for tabletop gaps

Plan Maintenance and Review

Schedule annual BCP review and CCO sign-off

Update plan for new advisors, locations, or systems

Confirm FINRA 4370 and SEC 206(4)-7 alignment

Refresh inventory of critical resources and SLAs

Store plan copies offsite and in secure cloud

Crisis Management and Communication

Designate the crisis management team and alternates

Provision out-of-band communication channels

Pre-draft client and media holding statements

Document Reg S-P client notification procedures

Map FINRA, SEC, and state regulator notification paths

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Campaign Performance Checklist

Campaign Setup and Compliance Intake

Define the campaign objective and KPI targets

Classify the communication under FINRA Rule 2210

Add the campaign to the CCO advertising calendar

Audience Targeting and Segmentation

Define investor segments and AUM tiers

Segment the CRM list by lifecycle stage

Apply do-not-contact and opt-out suppression

Creative, Disclosures, and Principal Review

Draft the headline and value proposition

Add required disclosures and disclaimers

Submit the creative for principal pre-approval

Capture the principal review decision

Revise the creative and resubmit for approval

Budget, Bidding, and Channel Allocation

Set the budget cap and target CPA

Choose the bidding strategy per channel

Allocate spend across approved channels

Performance Tracking and Mid-Flight Review

Configure conversion tracking and UTM tags

Stand up the stakeholder KPI dashboard

Run the mid-flight performance review

Pause or pivot the underperforming campaign

Close-Out and Books-and-Records Retention

Generate the final performance report

Archive creative, approvals, and audit trail

File the post-campaign report with the CCO

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Client Communication Checklist

Initial Client Contact

Capture preferred communication channels

Deliver Form CRS and privacy notice

Send welcome packet and advisor team intro

Schedule the discovery meeting

Set service cadence in the CRM

Ongoing Client Communication

Send the quarterly performance report

Hold the quarterly review meeting

Confirm any change in risk tolerance or objectives

Update the IPS and document the rationale

Send the principal-reviewed monthly newsletter

Verify all client communication was captured to the archive

Complaint Intake and Investigation

Log the complaint within one business day

Escalate to CCO if the complaint alleges misconduct

Assess U4 disclosure and regulatory notification

Pull communications and trade history from the archive

Draft the written response to the client

Resolution and Close-Out

Execute the agreed remedy

Confirm client satisfaction with resolution

Route to the CCO for second-level review

Close the complaint log entry with sign-off

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Client Onboarding Checklist

Pre-Engagement Discovery

Hold the discovery call with the prospect

Deliver Form CRS at first recommendation

Confirm the fee structure and billing cadence

Engagement & Documentation

Execute the investment advisory agreement

Deliver Form ADV Part 2A and 2B

Send the Reg S-P privacy notice

Capture the client risk tolerance profile

KYC / CIP / CDD

Verify identity per the CIP rule

Determine the account type and ownership structure

Collect beneficial owners for the entity account

Screen all parties against the OFAC SDN list

Complete enhanced due diligence for PEP or sanctions exposure

Custodian Setup & Asset Transfer

Open the custody account at the chosen custodian

Link the client bank account via micro-deposits

Initiate the ACATS transfer from delivering firms

Reconcile transferred holdings against prior statements

Investment Implementation

Document the Reg BI recommendation rationale

Execute initial trades to the model allocation

Confirm fee billing authorization on the account

Compliance File Close

Assemble the new client compliance folder

Obtain CCO sign-off on the account file

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Client Onboarding Checklist

Pre-Engagement Discovery

Hold the discovery meeting

Confirm the fee structure with the prospect

Deliver Form CRS at the recommendation

Engagement & Documentation

Send the investment advisory agreement

Deliver ADV Part 2A, 2B, and privacy notice

Capture signed disclosure acknowledgments

Run the risk profile in Nitrogen or Tolerisk

KYC, CIP, and CDD

Collect government ID and verify identity

Collect entity formation docs and beneficial owners

Run OFAC and PEP screening on all parties

Document enhanced due diligence findings

Custodian Setup and Asset Transfer

Open accounts at the custodian

Link the bank for distributions and verify

Initiate ACATS transfer from prior firm

Reconcile transferred holdings against statement

Investment Implementation and File Close

Apply the target allocation in the rebalancer

Document the Reg BI recommendation rationale

Send the welcome packet and portal access

Close the new account file with CCO sign-off

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Client Retention Checklist

Client Onboarding Experience

Send the personalized welcome packet

Confirm the CRM household record is complete

Capture the client communication preferences

Schedule the 30-day onboarding check-in

Walk the client through the planning portal

Ongoing Client Communication

Send the quarterly market commentary

Deliver the annual ADV Part 2 brochure

Run the personalized birthday and milestone outreach

Notify clients of material fee or policy changes

Send tax-season planning reminders

Annual Review and Service Experience

Schedule the annual planning review meeting

Refresh the client risk profile in Nitrogen

Run the tax projection in Holistiplan

Document the Reg BI rationale for any recommendation

Capture the annual client satisfaction score

Run the at-risk client save outreach

Loyalty, Recognition, and Referrals

Segment households into A, B, and C tiers

Plan the exclusive events for top-tier households

Send the client appreciation gift within gift limits

Log the inbound referrals in CRM

Issue and Complaint Resolution

Acknowledge the complaint within 24 hours

Log the complaint in the firm register

Escalate to the CCO and file the written record

Document the resolution and root cause

Send the post-resolution follow-up survey

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Client Risk Profile Checklist

Client Identification and CIP

Collect government-issued ID and capture copies

Run identity verification through LexisNexis or IDology

Screen all parties against OFAC SDN list

Determine PEP status and adverse media

File CIP documentation per books-and-records rule

Financial Profile and Source of Wealth

Capture assets, liabilities, and household income

Document source of funds and source of wealth

Confirm employment and outside business activities

Review tax bracket and outstanding obligations

Risk Tolerance and Investment Objectives

Administer the Riskalyze or Tolerisk questionnaire

Capture the risk tolerance bucket

Define goals, time horizon, and withdrawal plans

Document liquidity needs and cash flow requirements

Record investment restrictions and ESG preferences

Reg BI Disclosures and Suitability File

Deliver Form CRS at recommendation

Deliver Form ADV Part 2A and 2B brochures

Document the Reg BI best-interest rationale

Collect signed disclosure acknowledgments

Enhanced Due Diligence

Gather supplemental EDD documentation

Escalate the file to the CCO for sign-off

Configure heightened transaction monitoring rules

Ongoing Monitoring and Annual Review

Schedule the annual profile review

Monitor transactions against the expected activity profile

Refresh KYC fields after material life events

Reconfirm risk tolerance at the annual review

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Client Satisfaction Survey Checklist

Survey Design and Compliance Review

Define survey objectives and target segments

Draft the question set with NPS and qualitative items

Submit survey to CCO for advertising review

Revise survey per CCO feedback

Pilot the survey with five internal reviewers

Distribution Setup

Build the recipient list from the CRM

Configure the survey platform and email template

Send the survey to all active households

Send reminder to non-responders

Close the survey window

Analysis and Reporting

Calculate NPS and segment-level CSAT scores

Code open-ended responses into themes

Identify detractors for one-to-one outreach

Build the partner readout deck

Detractor Recovery

Assign each detractor to a lead advisor

Hold recovery calls within five business days

Log complaint to the firm complaint register

Action Plan and Closeout

Draft the firm-level action plan

Communicate changes to clients via newsletter

Schedule the next survey cycle in the CRM

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Contract Review Checklist

Intake and Counterparty Diligence

Classify the contract type and risk tier

Run OFAC and adverse-media screen on counterparty

Collect counterparty regulatory registrations

Request the counterparty's SOC 2 Type II report

Legal and Regulatory Review

Verify compliance with SEC, FINRA, and state rules

Review jurisdiction and dispute resolution clauses

Confirm Form ADV and Form CRS disclosure alignment

Flag indemnification and limitation-of-liability terms

Financial Terms

Confirm fee calculation methodology

Identify hidden charges and pass-through fees

Verify termination and wind-down financial terms

Document fee disclosure for Form CRS

Risk and Insurance

Verify counterparty insurance coverage

Review force majeure and BCP provisions

Evaluate breach and remediation procedures

Data Security and Privacy

Confirm Reg S-P and GLBA safeguards language

Verify encryption and access control commitments

Confirm breach notification timing

Review off-channel communications restrictions

Performance, Reporting, and Sign-Off

Define KPIs and service level commitments

Confirm audit and books-and-records access

Conduct CCO and senior management review

Document remediation plan for rejected terms

File the executed contract in the vendor record

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Contract Review Checklist

Intake and Classification

Log the contract in the vendor register

Classify the contract type

Confirm the parties and signatory authority

Legal and Regulatory Review

Verify Form ADV and disclosure alignment

Check producer and adviser licensing requirements

Confirm the data privacy and Reg S-P clauses

Collect SOC 2 report and information security questionnaire

Financial Terms Review

Reconcile fee schedule against the firm's pricing

Review pass-through expenses and out-of-pocket costs

Confirm payment terms and auto-renewal language

Performance and Service Levels

Verify scope of services and deliverables

Review SLAs and uptime commitments

Confirm implementation timeline and milestones

Check non-performance and termination penalties

Risk and Liability Review

Review warranties and representations

Evaluate indemnification and liability caps

Review dispute resolution and governing law

Document overall risk rating and red flags

Approval and Execution

Escalate high-risk findings to the CCO and principal

Route for principal sign-off and counter-signature

File the executed agreement in NetDocuments

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Credit Risk Checklist

Creditworthiness Assessment

Pull tri-bureau credit report and FICO

Verify income and employment stability

Calculate debt-to-income ratio

Search for existing liens and judgments

Review tax returns and financial statements

Collateral Evaluation

Order the appraisal or evaluation

Confirm ownership and title

Calculate loan-to-value ratio

Check for prior liens and encumbrances

Verify collateral against loan policy

Loan Structure and Terms

Set the loan amount and risk grade

Build the amortization schedule

Price the rate against risk grade

Draft loan covenants and reporting requirements

Confirm regulatory compliance on the structure

Risk Mitigation

Decide on guarantor or co-signer requirement

Require hazard, flood, and liability insurance

Set up the tax and insurance escrow

Schedule annual financial review cadence

Document the workout and default playbook

Approval and Documentation

Assemble the credit memo for committee

Route to the appropriate approval authority

Issue adverse action notice if declined

Verify closing documents against the approval

Close the loan and book the funding

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Cybersecurity Risk Assessment Checklist

Governance and Risk Management

Confirm CISO and IR roles in writing

Review the WISP against the GLBA Safeguards Rule

Inventory regulated systems and data

Run the annual cybersecurity risk assessment

Brief the board on residual risk findings

Convene an emergency board session

Access Controls and Authentication

Enforce MFA on custodian and CRM access

Reconcile access against the joiner-mover-leaver log

Review privileged access to portfolio tools

Audit shared service accounts and API keys

Confirm logging of access to client PII

Data Protection and Encryption

Classify client data by Reg S-P sensitivity tier

Verify encryption at rest on custodian data extracts

Test the offline backup restore

Confirm secure disposal of decommissioned media

Review off-channel communications archiving

Incident Response and Recovery

Run a ransomware tabletop with the IR team

Track tabletop remediation items to closure

Verify SEC Item 1.05 disclosure readiness

Confirm GLBA customer notification procedures

Test failover to backup custodian access

Update the IRP with lessons learned

Vendor and Third-Party Risk Management

Refresh due diligence on critical vendors

Review SOC 2 Type II reports for material vendors

Follow up on SOC 2 exceptions with the vendor

Verify breach notification clauses in MSAs

Confirm OFAC screening on new vendors

Sign off on the annual vendor risk register

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