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Client File Audit Checklist for Financial Services

by Nicky Eilers, from the Community

Downloads: 20+
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This client file audit checklist helps financial services teams verify documentation and compliance across the advice process. It prompts reviewers to confirm the presence and delivery of a Record of Advice, client signatures, disclosures, and clear articulation of client needs, recommendations, and decisions. The checklist also covers tax implications, exclusions, waiting periods, and the overall advice workflow, enabling accurate, consistent auditing and regulatory readiness for advisors, compliance officers, and key individuals.

With SafetyCulture you can

Digitize any process, procedure or policy
Eliminate mistakes made by paper-based processes
Create and share professional reports instantly
Confirm accountability and compliance with a digital log

With SafetyCulture you can

Digitize any process, procedure or policy
Eliminate mistakes made by paper-based processes
Create and share professional reports instantly
Confirm accountability and compliance with a digital log

About author

Community

This community page makes available free workplace checklists and templates created by other users within the SafetyCulture community. SafetyCulture has re-published this content and where possible, has credited the original author. SafetyCulture has not verified the accuracy, reliability or suitability of any community content. You agree that your use of any of this content is in accordance with SafetyCulture’s Terms and Conditions.