Compliance Audit Checklist
Audits reveal operational truth – make sure you’re ready for scrutiny. This Compliance Audit Checklist turns compliance anxiety into systematic confidence. Whether internal or external, scheduled or surprise, this AI-powered tool creates audit-specific preparation that actually works. Stop dreading audits and start using them as improvement catalysts.
Regulatory Compliance
□ Federal regulations identified
□ State regulations reviewed
□ Local ordinances checked
□ Industry standards applied
□ International requirements considered
□ Regulatory changes tracked
□ Compliance calendar maintained
□ Filing deadlines met
□ Licenses current
□ Permits valid
□ Registrations complete
□ Certifications maintained
Policy Compliance
□ Corporate policies current
□ Department procedures updated
□ Policy distribution tracked
□ Acknowledgments obtained
□ Training completed
□ Understanding verified
□ Exceptions documented
□ Waivers approved properly
□ Version control maintained
□ Review cycle followed
□ Updates communicated
□ Accessibility ensured
Financial Compliance
□ SOX requirements met
□ Internal controls tested
□ Financial reporting accurate
□ Tax compliance verified
□ Audit trail maintained
□ Segregation of duties
□ Authorization limits followed
□ Documentation complete
□ Reconciliations performed
□ Disclosures adequate
□ Material weaknesses addressed
□ Fraud prevention active
Data Protection
□ Privacy policies implemented
□ GDPR compliance verified
□ CCPA requirements met
□ Data classification followed
□ Consent management proper
□ Breach procedures tested
□ Retention policies followed
□ Deletion procedures working
□ Access controls adequate
□ Encryption standards met
□ Third-party agreements reviewed
□ Cross-border transfers compliant
Environmental Compliance
□ Environmental permits current
□ Emission standards met
□ Waste disposal compliant
□ Water discharge permitted
□ Air quality monitored
□ Hazardous materials managed
□ Spill prevention plans
□ Emergency response ready
□ Training records complete
□ Inspection reports filed
□ Corrective actions taken
□ Sustainability goals tracked
Health & Safety
□ OSHA standards met
□ Safety programs implemented
□ Incident reporting functional
□ Investigation procedures followed
□ Corrective actions documented
□ Training records current
□ PPE requirements met
□ Emergency procedures posted
□ Evacuation plans tested
□ First aid available
□ Industrial hygiene monitored
□ Ergonomics addressed
Employment Law
□ Equal opportunity compliance
□ Wage and hour laws followed
□ Leave policies compliant
□ Discrimination prevention active
□ Harassment training current
□ Accommodation procedures working
□ Termination procedures legal
□ Background checks compliant
□ Drug testing lawful
□ Worker classification correct
□ Union agreements honored
□ Whistleblower protections
Contract Compliance
□ Contract terms tracked
□ Performance metrics met
□ Deliverables completed
□ Payment terms followed
□ Change orders documented
□ Amendments properly executed
□ Renewal dates monitored
□ Termination clauses understood
□ Indemnification reviewed
□ Insurance requirements met
□ Dispute resolution followed
□ Audit rights preserved
Information Security
□ Security policies enforced
□ Access controls tested
□ Password requirements met
□ Encryption standards followed
□ Incident response tested
□ Vulnerability assessments done
□ Patch management current
□ Security training completed
□ Third-party risks assessed
□ Penetration testing performed
□ Compliance frameworks followed
□ Audit logs reviewed
Quality Standards
□ ISO compliance verified
□ Quality management system active
□ Process controls working
□ Product standards met
□ Service levels achieved
□ Customer requirements fulfilled
□ Supplier standards enforced
□ Inspection procedures followed
□ Non-conformance tracked
□ Corrective actions effective
□ Preventive measures implemented
□ Continuous improvement shown
Ethics & Conduct
□ Code of conduct distributed
□ Ethics training completed
□ Conflict of interest disclosed
□ Gift policy followed
□ Anti-corruption measures active
□ Hotline functional
□ Investigation procedures ready
□ Disciplinary actions consistent
□ Tone at the top positive
□ Cultural alignment verified
□ Values demonstrated
□ Integrity maintained
Monitoring & Reporting
□ Compliance metrics defined
□ KPIs tracked regularly
□ Dashboard updated
□ Exception reports reviewed
□ Trend analysis performed
□ Root cause analysis done
□ Action plans developed
□ Progress monitored
□ Escalation procedures followed
□ Board reporting completed
□ Stakeholder communication done
□ Continuous improvement pursued
How the Compliance Audit Checklist works
Describe your audit type, scope, and timeline. Input your industry and applicable standards. The AI builds a customized compliance audit checklist with preparation phases, documentation requirements, and common findings prevention. Track progress, assign responsibilities, and generate audit packages. Export reports that demonstrate due diligence.
Audit failures aren’t just embarrassing – they’re expensive. Fines, remediation, and reputation damage multiply costs. This checklist prevents the preventable, turning audit preparation from last-minute panic into systematic excellence. It’s how professionals maintain continuous compliance instead of periodic scrambles.
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