[Date]

[Your Company Name]

[Your Name]

General Compliance and Controls

• Ensure all compliance documents are current and meet regulatory standards.

• Confirm proper authorization for transactions with documented approvals.

• Review reconciliation statements for discrepancies and irregularities.

• Check segregation of duties to prevent fraud and maintain internal controls.

• Verify accurate record-keeping and reporting of financial transactions.

Security Measures

• Assess data protection methods, including encryption and access controls.

• Ensure internal firewalls are strong and secure.

• Confirm security systems (cameras, alarms) are fully operational.

Operational Efficiency

• Evaluate branch operations for efficiency and areas for improvement.

• Assess management supervision and adherence to policies.

• Review staff performance, focusing on productivity and teamwork.

• Ensure resources (staff and equipment) meet operational needs.

Customer Service Assessment

• Review customer feedback to measure satisfaction and improvement areas.

• Verify the effectiveness of customer service training programs.

• Ensure compliance with customer service standards and consistency.