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Financial & Insurance Services
Discover easy-to-use Financial and Insurance Services templates and training courses for service quotes, proposal, and more. Use them to gain practical knowledge, streamline your work, and stay on top of industry best practices. Customize these resources to fit your needs and excel in the Financial and Insurance Services industry with confidence.
TemplateАудит АП ТОП 2018: чеклист аудита точки продаж
Шаблон аудита АП ТОП 2018 помогает оценить работу кредитного специалиста в торговой точке. Включает проверку внешнего вида и чистоты рабочего места, наличия материалов для клиента и актуальных рекламных материалов по карте рассрочки, соблюдения корпоративных стандартов. Оцениваются знания по продуктовой линейке, NPS, мотивации и карьерным требованиям, ведение индивидуального плана развития, умение продавать сопутствующие продукты. Также проверяется взаимодействие с кредитным менеджером и правильное оформление торговой точки и партнерских точек.
by Maksim Bigler, from the CommunityDownloads: 30+Get- Template
Financial Review 2013 Checklist
This Financial Review 2013 checklist provides a structured guide for accounting and general field audit procedures. It covers cash and bank reconciliations, accounts receivable and payable, inventory controls, fixed assets, payroll and benefits accruals, taxes, notes and loans, revenue recognition, and financial statement review. It also includes document checks and interviews. Use it to assess controls, test transactions, and document findings for accurate, compliant reporting.
by Zoe Shera, from the CommunityDownloads: 30+Get - Template
Expoweek: аудит банковского отделения
Шаблон Expoweek предназначен для комплексного аудита банковского отделения и оценки клиентского опыта. Чек-лист охватывает внешнее оформление офиса и Зону 24, состояние банкоматов, чистоту и порядок, работу операционного зала и кассы, внешний вид и рабочие места сотрудников, подсобные помещения и кабинеты. Включены блоки для интервью с управляющим, кассиром, специалистами розничного и корпоративного бизнеса, наблюдения навыков продаж, а также опрос клиентов. Отдельно фиксируются параметры продуктовых процессов: вклады, карты, кредиты, РКО, ВЭД, открытие счетов, время оформления и сложности. Итоговый раздел помогает сформулировать приоритетные изменения и прикрепить фото. Инструмент подходит для внутренних проверок, стандартизации сервиса и улучшения эффективности офиса.
by Maksim Bigler, from the CommunityDownloads: 30+Get - Template
New Customer Credit Application Template
Use this Credit Application template to record new customer details and evaluate credit accounts. Capture customer name, contact information, address, phone, and email, along with account preferences such as credit card customer status. Includes document info and preparer details. Ideal for standardizing onboarding and credit checks across teams.
by Justin Snell, from the CommunityDownloads: 30+Get - Template
Inspección San Luis para líderes de tienda
Plantilla de inspección en español para el seguimiento semanal del Líder de Tienda en una operación de préstamos/empeño. Cubre revisión de bitácoras y cronogramas, préstamos diarios, indicadores de desempeño, clientes nuevos y prospectos, envíos de oro y análisis por producto, arqueo semanal, seguimiento a auditorías, gestión de clientes inactivos y adjudicados, y gestión telefónica de boletas por vencer y vencidas. Incluye metodología 7S, materiales operativos, limpieza de búnker, uniformes, campañas y preciadores. Considera procesos administrativos en ZEUS, correos, horarios, cuentas y mermas, así como conocimientos del negocio, ventas y trabajo en campo (volanteo, CAM, BAZ).
by Carlos Martinez, from the CommunityDownloads: 30+Get - Template
BSM ATM Monitoring Checklist
This BSM ATM Monitoring template is designed for inspecting ATM booths in the Bandung Dago area. It guides teams to record area and unit details, terminal ID, site status and location. Inspect ATM booth and enclosure conditions, air conditioner, CCTV coverage, lighting, signage, trash bin, and stickers. Verify machine and booth attributes including network logos, denomination display, contact number, ATM ID, card handling notices, customer warnings, and room rules. Check door branding elements and required logos. Capture photos and add special notes to document issues and follow ups.
by Jaka Santana, from the CommunityDownloads: 30+Get - Template
Annexure 1 Annual Compliance Report for FSPs
Annexure 1 to the Annual Compliance Report for Financial Services Providers in South Africa. This template helps FSPs record regulatory oversight (FSCA, FIC, NCR, SARS, MSCA), unregulated products, non-compliance on categories, group structures, key individuals and fit and proper status, operational ability and financial soundness, direct marketing controls, advice and recordkeeping procedures, custody of client funds and IGF cover, complaints and outcomes, business continuity and succession planning, waiver of rights, representatives under supervision and debarment, compliance function monitoring, risk management, file audits, AML, conflict of interest, and product suppliers for health, forex and discretionary mandates.
by Dawn Julyan, from the CommunityDownloads: 30+Get - Template
Visita a Sucursal: Checklist de Auditoría
Esta plantilla en español es una lista de verificación para visitas a sucursales de servicios financieros. Cubre revisión de imagen exterior e interior, actualización de precios, uniformes y promocionales. Incluye evaluación de volanteo y organización de materiales (carpetas de referidos, llamadas, competencia e inventario), claridad de pago y arrastre de cartera. Considera mistery shopper, conocimiento de herramientas de venta y cotizadores, seguimiento de metas (cuota diaria, mezcla de productos, delta de cartera), arqueos por sistema y últimos checklists regionales. Integra un plan SMART, comentarios y evidencia fotográfica.
by David Baez, from the CommunityDownloads: 30+Get - Template
FAIS Compliance Audit Checklist (Category II)
This FAIS compliance audit checklist supports Category II financial services providers in conducting a monthly monitoring review. It covers regulatory requirements for CIS managers and white-label funds, documentation of portfolio management processes, mandate approval and retention, client fact-finding and risk profiling, and ensuring product-risk alignment. It also checks controls on trade netting, asset swaps between client portfolios, significant withdrawals, and complaint handling. Use it to structure evidence gathering, confirm adherence to codes of conduct, and finalize the audit with clear sign-off by the compliance officer.
by Freddie Eilers, from the CommunityDownloads: 30+Get - Template
HUD Compliance Audit Checklist
Use this HUD compliance audit checklist to evaluate FHA Title I and II lender obligations. It guides auditors through quality control plan implementation, oversight of third party originators, branch registration and operations, and timely monitoring of early payment defaults. Verify HMDA and program activity reporting, annual recertification, adjusted net worth, liquidity, fidelity bond and errors and omissions coverage, and NMLS filings. Document findings and corrective actions.
by SafetyCultureDownloads: 20+Get - Template
HUD Audit Checklist
This HUD audit checklist helps auditors evaluate FHA approved lenders for compliance with HUD requirements. It covers general audit requirements, financial statements prepared under GAAP, reporting under GAAS and GAGAS, internal control over financial reporting and program compliance, and the compliance report with tested areas. It outlines schedules of findings and questioned costs, corrective action planning, and guidance for electronic submission of audited financial statements and compliance data to HUD within required timelines. The checklist also addresses lender recertification, adjusted net worth, liquidity, loan origination and servicing, escrow accounts, eligible fees, kickbacks, and required quality control plans, providing a structured approach to consistent, efficient audits.
by SafetyCultureDownloads: 20+Get - Template
Car Insurance Inspection
This template can be used to perform an inspection when an insured vehicle suffers any type of damage and after a claim is made. It also lists down important details such as specific location, if there's another vehicle involved in the incident, or if there are witnesses in the scene.
by SafetyCultureDownloads: 20+Get - Template
Liste de contrôle de l'audit des actifs fixes
Ce modèle permet aux comptables internes des actifs fixes et aux auditeurs tiers de s'assurer que l'entreprise tient des dossiers appropriés sur les immobilisations, que l'amortissement des actifs fixes est correctement calculé et que les normes comptables sont respectées.
by SafetyCultureDownloads: 20+Get - Template
Floorplan Site Audit Checklist
Use this floorplan site audit checklist to verify that motor vehicles are physically on-site at the dealership and accurately recorded in MinIT. Inspect and record registration, make and model, color, VIN or engine numbers, and overall condition. Confirm MinIT loan numbers and vehicle identifiers match records, capture supporting photos, and obtain sign-off to certify an actual inspection occurred. Ideal for lenders, auditors, and dealership teams managing floorplan financing compliance and asset verification.
by Darin Sneesby, from the CommunityDownloads: 20+Get - Template
Barclays Closure Program ISV Report V11
This template supports Barclays branch closure planning and documentation. It guides pre-visit checks, building status, conservation and listing constraints, shopping centre permits, and external works such as signage removal, car park security, and facade repairs. It covers external self-service equipment and nightsafe decommissioning, access and egress logistics, waste removal, and parking. Interior sections cover entrance and banking hall details, self-service machines, cash office and back-of-house, cash safes and strong rooms. Security systems, and full MEP inventory and meters are captured, along with fire alarms, AC, boilers, and radon. Notes include branch size and program duration.
by Tyrone Comins, from the CommunityDownloads: 20+Get - Template
Check List Operativo de Sucursal de Empeño
Esta plantilla de checklist operativo está diseñada para evaluar el orden y la limpieza en tienda, la atención al cliente y la gestión diaria de préstamos en una sucursal de empeño. Incluye verificación de bitácoras, seguimiento de cuentas en vencimiento y por vencer, procesos de valuación y cotización, oferta de promociones y servicios, así como el uso de materiales POP y cumplimiento de estándares del equipo. Es ideal para líderes de tienda y promotores valuadores que buscan estandarizar operaciones y mejorar resultados.
by Kevin Abadia, from the CommunityDownloads: 20+Get - Template
Virtual Risk Assessment Questionnaire
Use this virtual risk assessment questionnaire to conduct remote property and operations risk reviews. Capture key details on construction, occupancy, hazardous activities, utilities, storage and flammable liquids, loss prevention controls, fire water supply, sprinklers, detection, hydrants, extinguishers and response. Assess security controls, CCTV and patrols, cash handling, external and natural hazards, and business interruption. Document dependencies, IT backup and recovery, continuity planning, and overall findings to support insurance underwriting and risk improvement.
by Jessica Rowe, from the CommunityDownloads: 20+Get - Template
Client File Audit Checklist for Financial Services
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.
by Nicky Eilers, from the CommunityDownloads: 20+Get - Template
Vero Insurance Claim Process Checklist
This checklist guides teams through the Vero insurance claim journey, from initial brigade notification and approvals to appointing repairers, completing repairs, and final record keeping. Track key dates, claim numbers, acknowledgments, and reporting requirements to ensure nothing is missed and all documents are captured for compliance.
by Matthew Harris, from the CommunityDownloads: 20+Get - Template
P1502 FAIS Compliance Audit for Assent Legal Pty Ltd
This FAIS compliance audit template supports financial services providers in conducting a comprehensive quarter two review for the 2014 to 2015 period. It covers juristic representatives and Section 13 responsibilities, human resources policies, Treating Customers Fairly culture and management information, licensing checks, complaints handling, and fit and proper confirmations. The checklist guides monitoring of representatives, record keeping and registers, product and provider due diligence, replacement processes, and services under supervision. It addresses AML and FICA registrations, direct marketing controls and voice logging, confidentiality and privacy under data protection laws, and detailed file audit steps for Category I and Category II activities. Use it to document evidence, actions, and follow ups for governance and regulatory compliance.
by Freddie Eilers, from the CommunityDownloads: 20+Get - Template
Bank Branch Site Survey Checklist
Use this bank branch site survey checklist to assess the condition and compliance of branch facilities. Review display and branding, ATM installations, interior and exterior lighting, electrical outlets and breakers, HVAC and IT room cooling, UPS and appliances, and sanitary areas including WC, kitchen, taps, pipes, and radiators. Inspect finishes such as carpet, walls, tiles, parquet, suspended ceilings, façade and glazing, plus furniture condition for staff and customers. Capture SSM and safety observations, note defects like broken glass or worn surfaces, and record additional needs and other remarks. Ideal for banking environments and similar retail branches to standardize inspections, document issues with photos, and assign corrective actions.
by D M, from the CommunityDownloads: 20+Get - Template
Asset Count TechnipFMC Checklist
Use this free asset count checklist modeled for TechnipFMC to verify and document fixed assets during stocktakes. Record FA register data, asset numbers and serials, cost centre and location, attach photos of assets and serial plates, and capture counter and manager signatures. Ideal for finance, audit, and facilities teams seeking accurate asset verification and approvals.
by Morag Sherry, from the CommunityDownloads: 20+Get - Template
ICE RM Residential Insurance Survey
Use the ICE RM residential insurance survey checklist to document property details and evaluate risk across construction, occupancy, and site exposures. Record building age, elevations, roof and floor construction, utilities, and management systems. Assess fire detection, sprinklers, security, flood and windstorm exposure, subsidence, asbestos, and public liability controls. Log loss history, contractor controls, housekeeping, and neighboring exposures, plus signatures from the risk surveyor and insured.
by Darryl Morgan, from the CommunityDownloads: 20+Get