Operations template
Quarterly compliance review checklist
This operational template helps coordinate a recurring review. It does not define your legal obligations; adapt it with your compliance and legal advisers.
Scope and prepare
Define what the quarter’s review covers before collecting evidence.
- Confirm the review owner, reviewers, period, and due date.
- List applicable policies, controls, systems, and teams.
- Review regulatory and internal policy changes.
- Collect the evidence required for each control.
Test and record
Record outcomes consistently and make failed checks explicit.
- Verify control performance against the agreed procedure.
- Check required training and policy acknowledgements.
- Create an exception for missing, incomplete, or contradictory evidence.
- Assign remediation owners and deadlines.
Review and follow through
Close only after decisions and remaining risks are visible.
- Summarize findings and unresolved exceptions.
- Request reviewer approval.
- Schedule follow-up operations for remediation work.
- Archive the final evidence and decision history.