Regulatory Compliance Management Project Template

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Stay ahead of regulatory requirements and protect your branch from penalties with this Regulatory Compliance Management template. Designed for financial services, this template helps you track and manage all compliance-related tasks, from reviewing current status to preparing for external audits.

By following this step-by-step guide, you can ensure your branch meets all necessary legal and corporate requirements, safeguarding your company's reputation and avoiding costly penalties.

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Regulatory Compliance Management Project for Priority Matrix

Regulatory Compliance Management Project in Priority Matrix

Ensure your branch meets all legal and corporate requirements with this comprehensive regulatory compliance management template.

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Proposed Tasks

Immediate & Crucial

  • Task 16: Prepare for External Compliance Audit - due in 14 months
    ☐ Subtask1: Gather all necessary documentation. ☐ Subtask2: Review all operations for compliance.
  • Task 17: Conduct External Compliance Audit - due in 15 months
    ☐ Subtask1: Coordinate with external auditors. ☐ Subtask2: Address any issues identified during the audit.
  • Task 18: Address Audit Findings - due in 16 months
    ☐ Subtask1: Review audit findings. ☐ Subtask2: Develop and implement a plan to address any issues.
  • Task 20: Conduct Bi-Annual Compliance Review - due in 18 months
    ☐ Subtask1: Review all branch operations for compliance. ☐ Subtask2: Document any areas of non-compliance.
  • Task 1: Review Current Compliance Status - due in 1 week
    ☐ Subtask1: Gather all current compliance documentation. ☐ Subtask2: Analyze and record any areas of non-compliance.
  • Task 3: Schedule Compliance Training - due in 1 month
    ☐ Subtask1: Coordinate with HR to schedule mandatory compliance training for all employees.
  • Task 4: Conduct Compliance Audit - due in 2 months
    ☐ Subtask1: Review all branch operations for compliance. ☐ Subtask2: Document any areas of non-compliance.
  • Task 7: Conduct Bi-Annual Compliance Review - due in 6 months
    ☐ Subtask1: Review all branch operations for compliance. ☐ Subtask2: Document any areas of non-compliance.
  • Task 8: Address Non-Compliance Issues - due in 7 months
    ☐ Subtask1: Identify any areas of non-compliance. ☐ Subtask2: Develop and implement a plan to address these issues.
  • Task 10: Prepare for External Compliance Audit - due in 9 months
    ☐ Subtask1: Gather all necessary documentation. ☐ Subtask2: Review all operations for compliance.
  • Task 11: Conduct External Compliance Audit - due in 10 months
    ☐ Subtask1: Coordinate with external auditors. ☐ Subtask2: Address any issues identified during the audit.
  • Task 12: Address Audit Findings - due in 11 months
    ☐ Subtask1: Review audit findings. ☐ Subtask2: Develop and implement a plan to address any issues.
  • Task 14: Conduct Annual Compliance Review - due in 1 year
    ☐ Subtask1: Review all branch operations for compliance. ☐ Subtask2: Document any areas of non-compliance.

Important but not Urgent

  • Task 15: Update Compliance Policies - due in 13 months
    ☐ Subtask1: Research latest regulatory requirements. ☐ Subtask2: Update branch compliance policies as needed.
  • Task 2: Update Compliance Policies - due in 3 weeks
    ☐ Subtask1: Research latest regulatory requirements. ☐ Subtask2: Update branch compliance policies as needed.
  • Task 5: Implement Compliance Monitoring System - due in 3 months
    ☐ Subtask1: Research and select a compliance monitoring system. ☐ Subtask2: Implement system and train relevant staff.

Less Crucial but Immediate

  • Task 19: Review and Update Compliance Training - due in 17 months
    ☐ Subtask1: Review current compliance training program. ☐ Subtask2: Update training as needed to reflect current policies and procedures.
  • Task 6: Review and Update Risk Management Policies - due in 4 months
    ☐ Subtask1: Review current risk management policies. ☐ Subtask2: Update policies as needed to ensure compliance.
  • Task 9: Update Compliance Documentation - due in 8 months
    ☐ Subtask1: Review and update all compliance documentation to reflect current policies and procedures.
  • Task 13: Review and Update Compliance Training - due in 12 months
    ☐ Subtask1: Review current compliance training program. ☐ Subtask2: Update training as needed to reflect current policies and procedures.