Free Financial Compliance Survey Template
Financial Compliance Survey
This survey is designed to understand the financial compliance practices within your organization. It seeks to evaluate the effectiveness of your current financial controls, policies and procedures in meeting regulatory standards. Your answers will remain confidential and will be used to identify areas for improvement and development of more robust financial compliance systems. Please answer all questions honestly and to the best of your knowledge.
Please only fill out the survey if you are 18 years of age or older and are currently working in the financial industry.
|
Questions |
Space For Answers |
|---|---|
|
1. Is your organisation aware of all the necessary financial compliance regulations that need to be met? |
[Yes, Fully Aware] |
|
2. How frequently does your organization review its financial compliances? |
|
|
3. Are there established procedures for reporting financial compliance issues within your organization? |
|
|
4. Does your organization have sufficient resources (personnel, budget) dedicated to ensure financial compliance? |
|
|
5. How often does your organization conduct internal audits to measure financial compliance? |
|
|
6. How would you rate your organization's management's commitment to maintaining financial compliance? |
|
|
7. Has your organization ever failed a financial compliance audit in the past three years? |
|
|
8. Does your organization provide regular training to employees to maintain up-to-date knowledge on financial compliance? |
|
|
9. How prepared is your organization in handling potential breaches in financial compliance? |
|
|
10. How effective do you think your organization's financial compliance program is? |
Additional Comments:
Please provide any additional comments or observations regarding financial compliance at [Company Name]:
Comments: ________________________________________________________
Acknowledgment
I, [Your Name], in the capacity of [Your Position], hereby confirm that the information provided in this Financial Compliance Survey is accurate and complete to the best of my knowledge.
Signature: __________________________
Date: [Date]
Please return the completed survey to [Return Contact Information] by [Deadline]. Thank you for your cooperation and commitment to financial compliance.
