Financial Services Templates
Regulated financial firms don’t usually fail an examination because they lack a policy. They fail because they can’t show that the policy ran: that the monthly review happened, the overdue reviews were chased and the sanctions lists were updated on time. The examiner also wants to see that a named person looked at the results and signed their name. CheckFlow’s financial services templates turn those recurring obligations into checklists that start on schedule. Each task goes to a named owner, and each completed run is kept as dated evidence.
The templates are built for the compliance and financial crime teams at banks, payment and e-money institutions, wealth managers, investment advisers, lenders, insurers and fintechs. They cover the operational layer that sits around your specialist systems. Your monitoring, KYC and screening platforms do the detection. These checklists run the human review, sign-off and attestation work that regulators expect around them. Every template can be edited to match your regulator, your firm type and your own compliance calendar.
Explore Our Financial Services Checklist Templates
Each template includes a detailed process guide covering the regulatory background, what every phase involves and who should own it. Each one also comes with a live example you can open before you sign up.
AML Compliance Programme Review Checklist
A monthly review of your anti-money laundering programme. It covers transaction monitoring backlog and alert quality, SAR timeliness, overdue KYC reviews, sanctions list updates and training completion, and ends in an MLRO or BSA officer sign-off. A conditional annual phase adds the risk assessment refresh, the independent test and the MLRO’s annual report.
Why Financial Services Teams Use CheckFlow
Oversight you can prove, month after month
Examiners ask for evidence of ongoing oversight, not a document written the week before they arrive. Every CheckFlow run records who completed each step and when, with the MI, sample results and committee papers attached to the task they support. Twelve months of reviews export as one dated trail.
Recurring obligations that start themselves
Monthly programme reviews, quarterly control tests and annual certifications are scheduled once and then created and assigned automatically. A missed cycle shows up as an overdue checklist on a dashboard, not as a gap found during an examination.
Built around your systems, not instead of them
CheckFlow doesn’t replace your transaction monitoring, KYC or screening platforms. It runs the review and attestation steps around them, so the human judgement regulators care about is structured, assigned and recorded. Read our guide to financial services workflow automation for where that line sits.
Financial Services Templates — Frequently Asked Questions
Which financial services firms are these templates for?
Any regulated firm with recurring compliance obligations: banks and credit unions, payment and e-money institutions, wealth managers and investment advisers, lenders, insurers, crypto-asset service providers and fintechs. The templates are written with US, UK and EU requirements in mind, and each one points out where the obligations differ. They are a practical starting point, not legal advice, so adapt them to your firm type and regulator.
How is this different from compliance software such as a RegTech platform?
RegTech platforms automate detection and reporting: transaction monitoring, identity verification, sanctions screening and regulatory submissions. They don’t run the scheduled human reviews around those systems: the monthly programme review, the control test sign-off, the annual certification. CheckFlow structures that work. It assigns each step, schedules it and keeps the evidence, alongside whatever specialist systems you already use.
Can I show an examiner or auditor the completed checklists?
Yes. Every completed checklist keeps a record of who completed each task and when, any attachments and comments, and the final sign-off. You can export completed runs as evidence, or give an internal auditor access to review them directly in CheckFlow.
Can I customise the templates for my regulator?
Every template is fully editable. Add the steps your regulator expects, remove the ones that don’t apply, change who owns each phase and set the frequency that matches your compliance calendar. Conditional logic lets one template handle variations, such as an extra annual phase or steps that apply only to certain entities, without keeping separate copies.