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Ria

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21 Cfr 820
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Year End
Year End Close

OR

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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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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Quarterly Compliance Monitoring Checklist

Regulatory Filings and Reporting

Reconcile ADV data against custodian records

Confirm Form CRS delivery to retail clients

Verify 13F filing threshold at quarter-end

File Form 13F holdings report

Archive filing confirmations under Rule 204-2

AML and BSA Controls

Run OFAC SDN screen on all account parties

Review CIP completeness for new entity accounts

Collect missing beneficial owner CDD documents

Investigate transaction monitoring alerts

Refresh EDD files on PEP-flagged accounts

Data Protection and Privacy

Audit email archiving coverage in Smarsh

Spot-check off-channel communication compliance

Review Reg S-P privacy notice and ITPP

Internal Audits and Reviews

Sample-test advertising and social media posts

Reconcile fee billing against custodian debits

Review G&E log and personal trading pre-clearance

Document audit findings and remediation owners

Compliance Training and Awareness

Confirm annual code of ethics attestations

Deliver quarterly compliance bulletin to staff

Update training materials with new guidance

CCO sign-off on quarterly compliance report

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Quarterly Operations and Compliance QA Review

Data Integrity and Reconciliation

Reconcile custodian holdings to portfolio system

Verify cost basis on transferred positions

Identify duplicate CRM and custodian records

Audit corporate action processing for the quarter

Validate quarterly fee billing calculations

Compliance and Regulatory Adherence

Review Form CRS delivery log for new clients

Confirm annual Form ADV Part 2 brochure delivery

Audit OFAC screening on all new parties

Sample-test Reg BI recommendation documentation

Review SLOA accounts for custody-rule safeguards

Verify off-channel communication archiving

Client Service Quality

Sample-review NIGO new account packages

Audit complaint log resolution timing

Verify RMD processing for the quarter

Review client meeting cadence in CRM

System Performance and Reliability

Review custodian and portfolio system uptime

Test backup and disaster recovery procedures

Confirm patching cadence on advisor workstations

Audit user access and entitlements in core systems

Findings and Principal Sign-Off

Compile the QA findings register

Open compliance exception ticket with CCO

Submit QA report for principal sign-off

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Regulatory Compliance Checklist

Form ADV and Client Disclosures

Update Form ADV Part 1A in IARD

Refresh the Form ADV Part 2A brochure

File a Form CRS amendment

Deliver the annual brochure to clients

AML and BSA Program Review

Re-screen all clients against the OFAC SDN list

Audit beneficial owner records for entity accounts

Review the prior-year SAR filings

Conduct annual AML training

Cybersecurity and Data Safeguards

Run a tabletop on the incident response plan

Verify MFA on every custodian portal

Confirm the wire-change callback policy

Run a vulnerability scan on firm endpoints

Books, Records, and Communications

Spot-audit the email archive

Collect off-channel communication attestations

Sample social media posts for Rule 2210

Reset the gift and entertainment log

Custody and Client Asset Safeguards

Inventory standing letters of authorization

Engage a PCAOB auditor for the surprise exam

Reconcile fee billing against custodian debits

Confirm client statements were delivered by the qualified custodian

Findings and CCO Sign-Off

Compile findings into the remediation tracker

Brief the management committee on results

CCO sign-off on the annual review

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