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Financial & Insurance Services
Access financial and insurance services templates and training courses that support financial literacy, audits, and core operational processes. Help your teams reduce errors, manage risk, and keep financial work accurate and consistent.
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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
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
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 - Template
Branch Security Audit Checklist for Subcontractors
This branch security audit template helps subcontractors evaluate bank and cash handling sites end to end. Assess business and premises details, staff profiles, PSIRA training and competencies, and identification. Review key controls, CCTV coverage, alarm systems, and access control including search procedures. Capture details on vault holdings, receipting, and collection services with Cross Pavement Devices. Record CIT vehicle types, vehicle traps and loading bays, and control room practices. Verify armoury procedures, firearm permits and condition, counting house process, and insurance coverage, with photo evidence.
by m m, from the CommunityDownloads: 20+Get - Template
GEICO ARX Program Audit Checklist
This GEICO ARX Program Audit checklist helps assess body shop compliance with ARX requirements and rental readiness. Evaluate appointment scheduling, designated parking, on-site certification, and Enterprise workspace. Score customer service metrics including RCS, RVQ, and ESQI. Verify rental vehicle preparation and readiness across units, covering mechanical condition, fuel level, cleanliness, documentation, and safety items. Use this template to standardize audits, identify gaps, and improve claim partner and customer experience.
by Pablo Moreno, from the CommunityDownloads: 20+Get - Template
Work Quotations Template
This Work Quotations template helps teams prepare clear, professional quotes for services or jobs. Capture client or site details, location, prepared by, and date. Record the issue or fault, outline the scope of works, and attach photos for clarity. Include client name and address, plus any recommended additional works to upsell or flag follow‑on tasks. Designed as a starting point for consistent quoting and record keeping, this template supports efficient approvals and transparent communication with clients.
by Gary Hance, from the CommunityDownloads: 20+Get - Template
AI-Powered Compliance Management Software
Predict360 compliance management software helps organizations monitor and manage regulatory obligations with AI-powered dashboards and workflows. Centralize policies, procedures, audits, and assessments; track regulatory changes; automate monitoring and issue tracking; and streamline documentation. The cloud-based platform provides real-time insights, a configurable executive dashboard, and an integrated monitoring calendar to reduce risk and costs. Endorsed by the American Bankers Association, it is designed for financial services and other regulated industries seeking a modern CMS.
by Damon Hall, from the CommunityDownloads: 20+Get - Template
Cost Segregation Checklist
This cost segregation checklist helps teams document and classify property assets for a cost segregation study. Capture details across site improvements, lighting, landscaping, parking lots, and building interiors. Record counts and types for electrical, data, lighting fixtures, finishes, flooring, cabinetry, countertops, plumbing, wall coverings, and bathroom components. The checklist supports identifying and quantifying assets that may qualify for shorter recovery periods, streamlining depreciation schedules and supporting tax compliance and potential savings.
by Eric Curran, from the CommunityDownloads: 20+Get - Template
CET Scope Issue Report Form
This CET Scope Issue Report Form supports insurance claim progression by capturing all details from a site visit. Record claim information, insured and client data, dates, times, addresses, and contact numbers. Document repair team assignments, findings, photos, and comments. Summarize the scope of works, resolution decisions, agreed timelines, awareness of all parties, and whether compensation is due. Collect additional notes and secure signatures from the CET representative and the insured or their representative to finalize the report and move the claim forward.
by Scott Hughes, from the CommunityDownloads: 20+Get - Template
Howden Office Health and Safety Audit
This Howden Office Audit is a comprehensive health and safety checklist for office environments. It covers HSE and quality notices, insurance and legal postings, signage, housekeeping, lighting, temperature and ventilation, manual handling, DSE assessments, electrical equipment and fixed wiring checks, accident reporting, first aid competency and supplies, fire risk assessment, evacuation procedures, firefighting equipment, exits and alarms, asbestos registers, welfare facilities, noise assessments, COSHH controls, gas appliances, legionella controls, work at height, and lift maintenance. Use it to standardize audits and support compliance.
by christopher sweeney, from the CommunityDownloads: 20+Get - Template
RPD Vendor Scoresheet v1.2
This RPD Vendor Scoresheet v1.2 helps teams evaluate vendor performance in a consistent, auditable way. Score vendors against SLA and contract compliance, legal and regulatory requirements, standards, service delivery, resources, staff effectiveness, responsiveness, work quality, timeliness, planning, cost control, reporting, innovation, support, and customer satisfaction. Use the 1 to 5 rating scale with clear thresholds to identify excellence, highlight issues, and inform re evaluation or replacement decisions.
by Hector Lopez, from the CommunityDownloads: 20+Get - Template
SOX Audit Checklist for Sections 302 and 404
This SOX audit checklist helps internal auditors assess controls required by Sections 302 and 404. It focuses on preventing data tampering, timestamping and secure storage of records, tracking and logging access from multiple sources, and ensuring safeguards are operational through scheduled reporting. It also covers breach detection using correlation and alerting, use of ticketing for incident tracking, and role-based permissions for auditor access. The checklist guides regular effectiveness reporting and proper disclosure of safeguards, breaches, and failures to SOX auditors.
by Patience Curtis, from the CommunityDownloads: 20+Get - Template
ESG Checklist Template
Based on the UN Principles for Responsible Investment, this ESG checklist helps organizations assess Environmental, Social, and Governance performance. Use the guided questions to review waste management, energy use, diversity and inclusion, fair pay, CSR, data protection, transparency, risk assessment, and crisis planning. Identify gaps, capture evidence, and assign actions to strengthen compliance and reporting. Suitable for internal audits, investor due diligence, and sustainability programs across industries.
by Abraham Hailu, from the CommunityDownloads: 20+Get - Template
AML Checklist for Individuals
This AML checklist for individuals guides teams through KYC and due diligence steps for compliant onboarding. Capture client identity and country details, confirm US TIN, and collect certified proof of address and consent forms. Record Equifax results and flags such as watchlist, PEP, sanctions, SIP and RCA. Verify employment via internet searches, social media, business cards and company calls, and document meeting details. Include references, enhanced due diligence where needed, and assess source of wealth. Update internal systems like Qube and Maximizer, summarize findings, and set the next review date.
by James Harbach, from the CommunityDownloads: 20+Get - Template
Intruder Alarms Guidance for Customers
This checklist distills Aviva Loss Prevention Standards for intruder alarms to help customers plan effective premises security. It guides a security risk assessment, consultation with police, a security consultant and your insurer, and use of NSI or SSAIB approved installers. It covers selecting the correct alarm grade and transmission system, defining emergency response and escalation, confirmation technology, compliance with policy conditions, and regular review after incidents to reduce repeat losses.
by SafetyCultureDownloads: 10+Get - Course
Property Fundamentals (AU)
Athletic Ventures has teamed up with property expert and Director at Solvere Wealth, John Pidgeon to help break down the basics of property in Australia, helping you set savings goals and navigate deposits.
by Athletic VenturesGet6 LessonsDownloads: 10+ - Template
Inspection and Maintenance During Lockdown
This Aviva Loss Prevention Standards checklist helps organizations manage inspection, testing, servicing and maintenance during COVID-19 disruptions. It guides risk assessment, planning essential maintenance, contractor management and permits to work, plus fire protection impairment control. It covers legal and insurance requirements, staffing and training, budgeting, and returning to normal operations by reinstating preventative maintenance and updating procedures.
by SafetyCultureDownloads: 10+Get - Course
Accident and Incident Investigation
In this course, we'll cover the importance of investigating accident and incidents, the steps involved to do so, and how to apply everything you learned.
by Aviva UKGet6 LessonsDownloads: 10+ - Template
Rapid Change Event Risk Assessment Checklist
This checklist helps teams perform suitable and sufficient risk assessments during periods of rapid change, such as organizational restructures, new processes, incidents, new guidance, or global pandemics. It prompts the creation of a task inventory, tailoring generic assessments to site-specific hazards, inclusion of non-routine tasks like cleaning and maintenance, and clear documentation and record retention. It also directs users to seek specialist input where required and to link assessments to specific tasks, ensuring continuous review and relevance.
by SafetyCultureDownloads: 10+Get - Template
HUD Audit Report Template (Chapter 7)
This HUD audit report template helps auditors and FHA-approved lenders document Chapter 7 audit findings in line with Government Auditing Standards. Capture the content of each finding with sufficient evidence, add lender-prepared corrective action plans, and track actions in progress and completed. The template supports transparent reporting on noncompliance, internal control deficiencies, and corrective measures, ensuring clear communication between auditors and program managers. Use it to improve documentation quality, validate lender comments, and reinforce consistent, compliant audit reporting.
by SafetyCultureDownloads: 10+Get - Template
Locks Checklist Aviva Loss Prevention V1.0
This locks checklist follows Aviva Loss Prevention Standards to help organizations assess and improve physical security. It guides a risk assessment of premises, contents, access points, and building strength; checks for insurer minimum security conditions; and reviews the suitability, installation quality, and certification of locks. It prompts consultation with police, security consultants, or insurers, sets inspection and maintenance schedules, and considers glazing upgrades as part of balanced security. It also encourages post-incident reviews to prevent repeat losses.
by SafetyCultureDownloads: 10+Get - Template
Intruder Alarms European Standards Checklist
Use this checklist to evaluate intruder alarm systems against European standards in line with Aviva Loss Prevention Standards. It guides you through choosing certified installers such as NSI or SSAIB approved companies, agreeing alarm grade and notification with your insurer, submitting a formal system design proposal, and meeting confirmation requirements for police response. It covers dual path alarm transmission DP3, ARC arrangements and keyholder response, and establishing inspection, testing, and preventative maintenance contracts. Capture notes, approvals, and completion details to document compliance.
by SafetyCultureDownloads: 10+Get - Course
Lo básico de mi negocio
Este es un curso introductorio para todos los cursos que tienen que ver con tu negocio, finanzas y estrategia. Te invitamos a tomarlo antes que cualquier otro curso. Vamos.
by MoveUpGet6 LessonsDownloads: 10+
Practical safety and quality resources for financial and insurance services teams
Manage financial and insurance operations with ready-made resources that help teams stay consistent and reduce manual work. SafetyCulture’s Content Library is an online hub for financial and insurance services training courses, checklists, and templates designed to support day-to-day compliance and operational tasks. It gives teams a faster way to access guidance and conduct audits without rebuilding documents from scratch.
Why digital resources matter
Because the library is digital, resources are easier to update, share, and apply across teams. That supports better alignment and reduces the friction caused by scattered files and outdated documents.
Explore a few ways these Content Library resources support financial and insurance work:
Easily spot warning signals in financial systems with anti-money laundering courses.
Make operations smoother with vendor management and purchase order forms.
Maintain organizational health with business continuity and business analysis templates.
Efficiency grows when touch points between teams are fast and smooth. Ready-made digital resources used in the SafetyCulture platform help support that efficiency by promoting clearer inspections, real-time visibility, and more reliable practices across sites.