Compliance Task Tracking and Prioritization Template

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In the complex world of retirement and financial planning, keeping up with compliance tasks is crucial. This template leverages Priority Matrix to help Compliance Managers focus on urgent and important tasks, ensuring all regulatory requirements are met and potential penalties are avoided.

From reviewing new regulations and updating policies to preparing for audits and conducting training, this template provides a structured approach to managing and prioritizing compliance-related activities.

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Compliance Task Tracking and Prioritization for Priority Matrix

Compliance Task Tracking and Prioritization in Priority Matrix

Prioritize and track compliance tasks to ensure all regulatory requirements are met in retirement and financial planning.

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Proposed Tasks

Urgent and Important

  • Review new regulations due in 1 week
    ☐ Study the new regulatory documents ☐ Identify key compliance areas ☐ Prepare a compliance checklist
  • Update compliance policies due in 2 weeks
    ☐ Review current policies ☐ Identify areas of change ☐ Update policies ☐ Communicate changes to team
  • Prepare for quarterly audit due in 3 weeks
    ☐ Compile all necessary documents ☐ Review all transactions ☐ Ensure all compliance tasks are completed

Important, Not Urgent

  • Conduct compliance training due in 1 month
    ☐ Prepare training material ☐ Schedule training sessions ☐ Conduct training
  • Monitor compliance due in 2 months
    ☐ Review compliance reports ☐ Identify any non-compliance issues ☐ Take corrective action
  • Update risk assessment due in 2 months
    ☐ Review current risk assessment ☐ Identify new risks ☐ Update risk assessment

Urgent, Not Important

  • Attend compliance seminar due in 3 months
    ☐ Register for seminar ☐ Prepare for seminar ☐ Attend seminar
  • Review compliance software due in 3 months
    ☐ Identify potential software ☐ Test software ☐ Select software

Not Urgent, Not Important

  • Conduct compliance survey due in 4 months
    ☐ Prepare survey ☐ Distribute survey ☐ Analyze survey results
  • Prepare annual compliance report due in 5 months
    ☐ Collect compliance data ☐ Prepare report ☐ Present report to management