Compliance
Compliance Checklist
What This Template Is
The Compliance Checklist template provides a structured checklist for tracking compliance with regulatory obligations, internal policies, and licence conditions. It transforms a compliance obligation register into an actionable, trackable tool with status tracking, evidence collection, and deadline alerts.
Who Should Use It
Compliance officers tracking regulatory compliance across the organization
Business unit owners responsible for specific compliance areas
Legal teams managing regulatory filings and licence renewals
Internal audit teams verifying compliance status during reviews
What It Contains
Obligation details: requirement description, source regulation, jurisdiction, regulator, section reference
Applicability assessment: applicable/partially/not applicable with rationale
Compliance status: compliant / mostly compliant / partially compliant / non-compliant / not tested
Evidence section: evidence description, evidence document, evidence status (valid/missing/expiring)
Owner and reviewer: assigned compliance owner and periodic reviewer
Monitoring frequency: continuous / monthly / quarterly / annual, with next review date
Finding tracking: open findings, remediation status, and due dates
When to Use It
- When establishing a compliance monitoring program
- During periodic compliance reviews and regulatory examinations
- When new regulations are issued and need to be assessed for applicability
- For board and regulator reporting on compliance status
How to Use It
1
Create a compliance checklist from the template within the Compliance Management module
2
Populate with obligations from your compliance obligation register or extract from regulations
3
Assess applicability for each obligation and assign owners
4
Track compliance status, attach evidence, and set monitoring frequencies
5
Review regularly, address findings, and use the dashboard for board and regulator reporting