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Audit and Compliance for Finance and Banking

  • Document without effort
  • Centralize and organize
  • Make easily accessible
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Two people intently examine a laptop screen displaying a document titled "Audit and Compliance for Finance and Banking.docx," underscoring the importance of thorough compliance in their financial review.
For the

Audit and Compliance for Finance and Banking

industry, monitoring key compliance metrics is essential to maintain standards and reduce risks. Focus on these areas:
  • Regulatory Violations: Track occurrences of Financial misconduct to stay compliant with industry regulations.
  • Fines and Penalties: Manage costs by reducing fines, such as Regulatory fines.
  • Data Breach Incidents: Protect sensitive information by minimizing Data breaches.
  • Training Completion: Ensure AML training to keep all staff up-to-date with standards.
  • Incident Response Time: Aim for quick resolutions, currently averaging Incident handling speed.
  • Audit Pass Rate: Improve audit outcomes; your current pass rate is Financial audit success.
  • Policy Violations: Reduce policy infractions, now recorded at Policy adherence.
  • Employee Awareness: Measure compliance knowledge, with current scores at AML knowledge.
  • Customer Complaints: Address complaints linked to compliance, such as Privacy complaints.
  • Safety Standards: Ensure facilities meet safety requirements, with a current rate of Safety standards compliance.

How does this free template stack up to Whale?

Customizable

Free

Free mobile app

Employee Training tools

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Automated Workflows

Reporting

Insights on knowledge

Insights on Checklist runs

A static checklist template

Create checklists with ease

Add and describe

Add your steps one at a time and offer a description for clarity sake

Add an input field

Offer the option to add comments or other inputs for each step

Assign to your team and track

Assign

Assign checklists to an individual or a team and in the office or on the go.

Track completion

Monitor when and who completed which tasks in the insights report.

Helping thousands of SMEs systemize and scale

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The Whale Mobile App

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QR Codes

Generate QR codes for your Whale playbooks or cards, making process documentation accessible on the go with just a scan.
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Elevate your team with SOPs, training and checklists​

Use Whale to effortlessly document your procedures, policies, and company knowledge, making employee training a breeze — with a bit of help from AI!

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