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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.
TemplateAuditoría de Seguridad Electrónica
Checklist en español para auditar sistemas de seguridad electrónica en sucursales y puntos de atención. Cubre intrusión y alarmas, CCTV, control de acceso, cableado y comunicaciones, así como pruebas integrales de funcionamiento, documentación requerida y criterios de instalación basados en normas. Ayuda a verificar conformidad, identificar fallas y priorizar mejoras para garantizar continuidad operativa y protección del local y del personal.
by Prevencion Proteccion, from the CommunityDownloads: 10+Get- Template
2022 PTSB Admin Centre Health and Safety Audit
Use this comprehensive checklist to audit health and safety across PTSB branches and admin centres. Assess safety statements, access and egress, housekeeping, work at height, electrical and fire safety, emergency planning, first aid, welfare facilities, and DSE compliance. Inspect external and roof areas, hazardous materials, basements, and asbestos controls. Includes ventilation and COVID-19 measures plus close-out actions to document findings and assign follow-up.
by Darren O'Keeffe, from the CommunityDownloads: 10+Get - Template
Client File Audit Checklist
Ensure compliant record-keeping for financial advice engagements with this client file audit checklist. Capture a clear Record of Advice including the basis for recommendations, products considered, and reasons selections meet client needs. Verify client signatures or proof of delivery, and document comparisons for replacements: fees, terms, exclusions, waiting periods, penalties, and restrictions. Record client decisions when they differ from advice, and note important disclosures such as tax implications. Include declarations on the impact of incomplete information and provide an overview of the advice process and resulting financial plan.
by Nicky Eilers, from the CommunityDownloads: 10+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: 10+Get - Template
Vistoria de Sinistro de Terceiro Plus Proteção
Modelo de checklist para vistoria de sinistro de terceiro utilizado pela Plus Proteção Automotiva. Registre dados do veículo, do terceiro e do associado, oficina e vistoriador, com campos para documentos e BO. Inclui sequência de fotos obrigatórias do carro (frentes, laterais, pneus, teto, motor, chassi e painel) e itens como estepe, chave, alarme, som, macaco, triângulo e tapetes. Permite anotar avarias preexistentes, observações finais e coletar assinatura. Traz orientações sobre participações e cobertura de itens originais, auxiliando a entrada do veículo na oficina e o processo de sinistros.
by Samara Pereira [Plus Proteção], from the CommunityDownloads: 10+Get - Template
1300WHATLOAN NCCP Compliance Audit
Conduct a yearly NCCP compliance audit with this 1300WHATLOAN checklist designed for Australian credit providers and mortgage brokers. Review licence conditions, AFSL requirements, responsible lending processes, disclosure and advertising rules, AML/CTF procedures, and financial resource obligations. Track credit representative appointments, PI insurance, trust account audits, ASIC reporting, and dispute management via IDR and EDR schemes. Verify training and background checks, record retention, IT backups and contingency plans, privacy policy, conflicts of interest, and supplier due diligence.
by Joao Lopes, from the CommunityDownloads: 10+Get - Template
Geek Squad Insurance Sales Validation Checklist
This Geek Squad Insurance Sales Validation checklist helps consultants conduct compliant point-of-sale insurance discussions. It covers establishing customer needs and suitability, avoiding incentives, clearly explaining optional coverage and purchase windows, exclusions, and excesses, and confirming informed consent. It reinforces clear communication about upfront and ongoing payments, and proper documentation, including signed certificates and providing customers with digital or printed copies. Use it to standardize quality and compliance for each sale.
by Christopher Camilleri, from the CommunityDownloads: 10+Get - Template
Field Investigative Unit Confidential Report
Use this Field Investigative Unit confidential report template to record surveillance activities and findings for suspected injury or insurance claims. Log subject details, background, affected body parts, insurance program type, potential leads, dates, and case status updates. Summarize each surveillance session and add photos and notes to maintain a clear, defensible record.
by Daniel Oswald, from the CommunityDownloads: 10+Get - Template
Insurance Prospect Assessment Checklist
This Insurance Prospect Assessment Checklist helps brokers and agents capture essential client information and evaluate risk exposures before quoting. The form collects insured and brokerage details, contact information, and address, then guides users to specify business activities and desired coverages such as property, crime or theft, stock and contents, liability, business income, and management liability. It includes prompts about asbestos and insulated panelling to identify material and property risks. Complete the brief assessment and email the results to streamline underwriting, qualify leads faster, and ensure more accurate proposals. Templates in the SafetyCulture Public Library are examples and not a substitute for professional advice.
by Luke Robinson, from the CommunityDownloads: 10+Get - Template
Financial Due Diligence Checklist
Use this financial due diligence checklist to assess a company’s financial standing before a transaction or major decision. The template covers review of income statements, balance sheets, and cash flow; sales and gross profit by product; rates of return; accounts receivable; inventory breakdown and valuation; real estate and equipment details; past results versus projections and future forecasts; pricing history; tax information; summaries of debts and their terms; and current investors and shareholders. Includes title page fields and a completion section for comments and sign off, helping accountants and financial advisors document findings and risks.
by Koji Sato, from the CommunityDownloads: 10+Get - Template
WHS Risk Assessment for Loss Adjustors
This WHS risk assessment template supports loss adjustors conducting on-site insurance claims assessments. It guides planning before attendance, including checks for asbestos, structural integrity, hazardous or flammable chemicals, and biological hazards. It covers water-damage categories, hygienist involvement, and confirming make-safe actions. Onsite, it prompts a dynamic step-back risk assessment to scan for electrical, chemical, and biological risks; slip and trip hazards; ceiling protrusions; and power status. It also reinforces choosing appropriate PPE such as P2 or N95 respirators, disposable overalls, gloves, and boot covers.
by Bernie Walker, from the CommunityDownloads: 10+Get - Template
Motor Dealers Insurance Survey and Needs Analysis
This template supports motor dealerships with a comprehensive insurance property survey and needs analysis. It captures business details, licensing, brands represented, services offered, vehicle types, and turnover. The property survey reviews construction, asbestos, fire safety, security measures, housekeeping, locale risks, car parks, and office risk controls. It also covers electrical systems, machinery and hoists, storage and warehouse practices, and general notes. The insurance fact finder spans material damage, flood, business interruption, theft, glass, hail, portable equipment, broadform liability, professional indemnity, equipment breakdown, and marine cargo. Motor vehicle sections include trade plates, customers’ vehicles, stock vehicles, heavy and light vehicles, and loan vehicles. Optional covers include management liability, cyber risks, workers compensation, corporate travel, product recall, trade credit, event liability, aviation, and key person insurance.
by Jacob Ross, from the CommunityDownloads: 10+Get - Template
Affinity Insurance Hospitality Survey Checklist
Use this hospitality insurance survey checklist to assess risk and compliance at hotels, motels, resorts, restaurants, cafes, bars, and venues. Sections cover general business details, accommodation, commercial kitchen operations, gaming, entertainment areas and dance floors, revenue breakdown, building construction, housekeeping and external risks, locale and carparks, fire safety, security controls, office and IT risks, flammables storage, electronics and machinery, and completion sign off.
by Jacob Ross, from the CommunityDownloads: 10+Get - Template
RBSG SDM Commissioning Sign-Off V1.15
Use this commissioning and sign-off checklist to bring NCR ATM SDM units into service for RBS/Ulster Bank branches. It covers mandatory compliance, tamper checks of the card reader and EPP, fascia and branding inspection, module self-tests (card reader, receipt and journal printers), MEI and lighting checks, BIOS security settings, and staff training. Includes functional testing, customer and engineer sign-off, off-site confirmation, and guidance for software rebuilds authorized by NCR support.
by Pete Phillips, from the CommunityDownloads: 10+Get - Template
Repair Solutions Stabilisation Report v5.1
This Repair Solutions stabilisation report template v5.1 guides restoration contractors through the first visit after flood, escape of water, or fire. Capture site details, building fabric, meter readings, and peril information; complete a thorough risk assessment including asbestos, electrics, and access considerations; and document area-by-area stabilisation work, moisture measurement plans, and equipment deployed. Record contents triage, action plans for buildings and contents, and coordination with adjusters and building consultants to progress insurance claims efficiently and reduce secondary damage.
by Independent Restoration, from the CommunityDownloads: 10+Get - Template
Checklist de Cobranza
Esta plantilla de cobranza te ayuda a centralizar la gestión de cuentas por cobrar. Registra fechas de visita o contacto, responsable, ubicación o sucursal, y observaciones clave para cada cuenta. Estandariza cómo capturas pagos, promesas, incidencias y notas de seguimiento, facilitando el control de cartera y la comunicación entre equipos. Incluye secciones para datos básicos del reporte, estación o punto de atención y comentarios, lo que permite documentar evidencias y mejorar los tiempos de recuperación. Úsala para auditar procesos de cobro y priorizar acciones.
by Moises Cisneros, from the CommunityDownloads: 10+Get - Template
Suppliers Attestation Checklist
This Suppliers Attestation template helps insurance service providers and distributors confirm compliance across key obligations. Verify AFS licence status, ASIC reporting, and adherence to the General Insurance Code of Practice. Review policy wording and disclosure, underwriting and pricing controls, claims handling, complaints and IDR processes, and outsourcing arrangements. Assess information security frameworks, user access reviews, cyber incident notification, and business resilience including BIA, BCP, ITSCM and DRP testing. Check fraud and AML controls, privacy practices, conflicts of interest, staff training, incident management, modern slavery due diligence, and economic sanctions screening.
by Julie Zhu, from the CommunityDownloads: 10+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: 10+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: 10+Get - Template
Аудит АП: чек-лист банка
Подробный чек-лист для аудита административного пункта/офиса банка. Оценивает внутреннее оформление и чистоту, наличие бренд-материалов и хранения карт, соблюдение корпоративного дресс-кода, стандарты приветствия и общения, идентификацию клиента, актуализацию контактов, выявление потребностей, кросс-продажи, работу с возражениями и информирование о дистанционных сервисах. Включает критерии общего впечатления и телефонного этикета, вовлеченности и мотивации сотрудников, знание продуктовой линейки (карты, рассрочка, страхование, депозиты), а также использование внутренних инструментов.
by Maksim Bigler, from the CommunityDownloads: 10+Get - Template
Чек-лист открытия кондитерского цеха
This DA Desktop Audit checklist helps financial services firms assess regulatory compliance. Review FCA permissions and controlled functions, standing data attestation, insurance permissions or AR status, ICO registration details, complaints procedures and registers, customer feedback, financial promotions oversight, staff training completion, and website/social media disclosures and privacy notices.
by Julie Atkinson, from the CommunityDownloads: 10+Get - Template
USAA DFO Annual Visit Template
Use this USAA DFO Annual Visit Template to run consistent, thorough branch inspections. Evaluate janitorial standards, interior and exterior conditions, parking lots, curbs, striping, lighting, landscaping, signage, and ATM areas. Capture issues with photos and notes, rate conditions, flag safety hazards, and document follow up actions for the facility manager. Sections include information capture, interior and exterior janitorial, building and signage checks, ATM and illumination review, miscellaneous findings, and overview and signature to complete the visit.
by Mike Anthony, from the CommunityDownloads: 10+Get - Template
Commercial Insurance Application
Use this Commercial Insurance Application template to collect the information needed for underwriting and quoting. Capture lines of business, effective and expiration dates, current coverage and loss runs, requested limits, and contractual requirements. Sections include Property, General Liability, Workers Compensation, Commercial Auto, and Umbrella, with prompts for revenue, payroll, square footage, vehicles, drivers, and MVRs. Attach supporting documents to streamline submissions.
by Andrea Rosen, from the CommunityDownloads: 10+Get - Template
Mitti Business Package Renewal Checklist 2022
Use this annual checklist around 60 days before renewal to guide client discussions on Mitti Business Package policies. Confirm building replacement values, plant and equipment, office contents, security and fire protection, and policy sub-limits and perils. Review business interruption exposures, forecast growth, and key supplier or customer dependencies. Check liability cover limits, operational changes, and contractual obligations that may trigger exclusions. Helps brokers capture accurate updates for renewal documentation.
by Luke Robinson, from the CommunityDownloads: 10+Get