Audit Checklists for Departments

Top 100 Checklists for Internal Auditing of Regulatory Compliance Department – CIA-139

Written by Venkadesh Narayanan | Jun 15, 2024 10:34:46 AM

In a typical organization, the Regulatory Compliance department ensures adherence to laws, regulations, and industry standards relevant to its operations. Internal auditing plays a crucial role in this department by systematically reviewing compliance processes and controls. Auditors assess the effectiveness of policies, procedures, and practices to identify gaps or areas of improvement. This proactive approach helps mitigate risks associated with non-compliance, such as legal penalties or reputational damage. 

The benefits of internal auditing in Regulatory Compliance include enhancing transparency and accountability within the organization. Audits provide assurance to stakeholders that regulatory requirements are met, fostering trust and credibility. Additionally, auditing helps streamline operations, reducing inefficiencies and associated costs. By staying ahead of regulatory changes and continuously improving compliance measures, the department can maintain a proactive stance, supporting sustainable business practices and long-term organizational success. 

TOP 100 CHECKLISTS FOR INTERNAL AUDITING OF REGULATORY COMPLIANCE  DEPARTMENT 

  1. CIA-139-001: Checklist for Regulatory Compliance Program Documentation
  2. CIA-139-002: Checklist for Compliance with Federal Regulations
  3. CIA-139-003: Checklist for Compliance with State Regulations
  4. CIA-139-004: Checklist for Compliance with Local Regulations
  5. CIA-139-005: Checklist for Compliance Monitoring and Reporting
  6. CIA-139-006: Checklist for Regulatory Change Management
  7. CIA-139-007: Checklist for Compliance Training and Awareness
  8. CIA-139-008: Checklist for Policy and Procedure Review
  9. CIA-139-009: Checklist for Risk Assessment and Mitigation
  10. CIA-139-010: Checklist for Compliance Auditing Procedures
  11. CIA-139-011: Checklist for Data Privacy Regulations
  12. CIA-139-012: Checklist for Anti-Money Laundering (AML) Regulations
  13. CIA-139-013: Checklist for Know Your Customer (KYC) Regulations
  14. CIA-139-014: Checklist for Consumer Protection Regulations
  15. CIA-139-015: Checklist for Environmental Regulations
  16. CIA-139-016: Checklist for Health and Safety Regulations
  17. CIA-139-017: Checklist for Labor and Employment Regulations
  18. CIA-139-018: Checklist for Financial Regulations (e.g., SEC, FINRA)
  19. CIA-139-019: Checklist for Insurance Regulations
  20. CIA-139-020: Checklist for Pharmaceutical Regulations
  21. CIA-139-021: Checklist for Food and Drug Administration (FDA) Regulations
  22. CIA-139-022: Checklist for Telecommunications Regulations
  23. CIA-139-023: Checklist for Export Control Regulations
  24. CIA-139-024: Checklist for Import Regulations
  25. CIA-139-025: Checklist for Intellectual Property Regulations
  26. CIA-139-026: Checklist for Tax Compliance Regulations
  27. CIA-139-027: Checklist for Trade Compliance Regulations
  28. CIA-139-028: Checklist for Securities Regulations
  29. CIA-139-029: Checklist for Corporate Governance Regulations
  30. CIA-139-030: Checklist for Data Protection Regulations (e.g., GDPR)
  31. CIA-139-031: Checklist for Ethical Standards and Code of Conduct
  32. CIA-139-032: Checklist for Compliance with Anti-Bribery and Corruption Laws
  33. CIA-139-033: Checklist for Accessibility Regulations (e.g., ADA)
  34. CIA-139-034: Checklist for Competition and Antitrust Regulations
  35. CIA-139-035: Checklist for Occupational Health Regulations
  36. CIA-139-036: Checklist for Export Control Compliance
  37. CIA-139-037: Checklist for Compliance with ISO Standards
  38. CIA-139-038: Checklist for Compliance with Banking Regulations
  39. CIA-139-039: Checklist for Compliance with Payment Card Industry Data Security Standards (PCI DSS)
  40. CIA-139-040: Checklist for Compliance with Healthcare Regulations (e.g., HIPAA)
  41. CIA-139-041: Checklist for Compliance with Energy Regulations
  42. CIA-139-042: Checklist for Compliance with Real Estate Regulations
  43. CIA-139-043: Checklist for Compliance with Transportation Regulations
  44. CIA-139-044: Checklist for Compliance with Chemical Regulations
  45. CIA-139-045: Checklist for Compliance with Construction Regulations
  46. CIA-139-046: Checklist for Compliance with Aviation Regulations
  47. CIA-139-047: Checklist for Compliance with Maritime Regulations
  48. CIA-139-048: Checklist for Compliance with Insurance Regulations
  49. CIA-139-049: Checklist for Compliance with Technology Regulations
  50. CIA-139-050: Checklist for Compliance with Pharmaceutical Regulations
  51. CIA-139-051: Checklist for Compliance with Food Safety Regulations
  52. CIA-139-052: Checklist for Compliance with Advertising Regulations
  53. CIA-139-053: Checklist for Compliance with Privacy Regulations
  54. CIA-139-054: Checklist for Compliance with Telecommunications Regulations
  55. CIA-139-055: Checklist for Compliance with Environmental Health and Safety (EHS) Regulations
  56. CIA-139-056: Checklist for Compliance with Occupational Safety and Health Administration (OSHA) Regulations
  57. CIA-139-057: Checklist for Compliance with Hazardous Materials Regulations
  58. CIA-139-058: Checklist for Compliance with Pharmaceutical Quality Control (PQC) Regulations
  59. CIA-139-059: Checklist for Compliance with Financial Reporting Regulations
  60. CIA-139-060: Checklist for Compliance with Government Contracting Regulations
  61. CIA-139-061: Checklist for Compliance with Employee Benefits Regulations
  62. CIA-139-062: Checklist for Compliance with Intellectual Property (IP) Regulations
  63. CIA-139-063: Checklist for Compliance with Export Compliance Regulations
  64. CIA-139-064: Checklist for Compliance with Import Compliance Regulations
  65. CIA-139-065: Checklist for Compliance with Trade Sanctions Regulations
  66. CIA-139-066: Checklist for Compliance with Workplace Safety Regulations
  67. CIA-139-067: Checklist for Compliance with Health Regulations
  68. CIA-139-068: Checklist for Compliance with Financial Security Regulations
  69. CIA-139-069: Checklist for Compliance with Cybersecurity Regulations
  70. CIA-139-070: Checklist for Compliance with Anti-Fraud Regulations
  71. CIA-139-071: Checklist for Compliance with Anti-Money Laundering (AML) Regulations
  72. CIA-139-072: Checklist for Compliance with Anti-Corruption Regulations
  73. CIA-139-073: Checklist for Compliance with Securities and Exchange Commission (SEC) Regulations
  74. CIA-139-074: Checklist for Compliance with Financial Conduct Authority (FCA) Regulations
  75. CIA-139-075: Checklist for Compliance with Environmental Protection Agency (EPA) Regulations
  76. CIA-139-076: Checklist for Compliance with Occupational Safety and Health Administration (OSHA) Regulations
  77. CIA-139-077: Checklist for Compliance with Federal Aviation Administration (FAA) Regulations
  78. CIA-139-078: Checklist for Compliance with Food and Drug Administration (FDA) Regulations
  79. CIA-139-079: Checklist for Compliance with Federal Trade Commission (FTC) Regulations
  80. CIA-139-080: Checklist for Compliance with Federal Communications Commission (FCC) Regulations
  81. CIA-139-081: Checklist for Compliance with International Trade Regulations
  82. CIA-139-082: Checklist for Compliance with Financial Services Authority (FSA) Regulations
  83. CIA-139-083: Checklist for Compliance with Export Administration Regulations (EAR)
  84. CIA-139-084: Checklist for Compliance with Controlled Substances Regulations
  85. CIA-139-085: Checklist for Compliance with Contract Management Regulations
  86. CIA-139-086: Checklist for Compliance with Corporate Governance Regulations
  87. CIA-139-087: Checklist for Compliance with Business Ethics Regulations
  88. CIA-139-088: Checklist for Compliance with Biosecurity Regulations
  89. CIA-139-089: Checklist for Compliance with Banking and Financial Regulations
  90. CIA-139-090: Checklist for Compliance with Asset Management Regulations
  91. CIA-139-091: Checklist for Compliance with Audit Regulations
  92. CIA-139-092: Checklist for Compliance with Insurance Compliance Regulations
  93. CIA-139-093: Checklist for Compliance with Privacy and Data Protection Regulations
  94. CIA-139-094: Checklist for Compliance with Risk Management Regulations
  95. CIA-139-095: Checklist for Compliance with Standards and Regulations
  96. CIA-139-096: Checklist for Compliance with Labor and Employment Regulations
  97. CIA-139-097: Checklist for Compliance with Workplace Regulations
  98. CIA-139-098: Checklist for Compliance with Professional Standards and Regulations
  99. CIA-139-099: Checklist for Compliance with Governance Regulations
  100. CIA-139-100: Checklist for Compliance with Internal Control Regulations

 


This article is Uploaded by: Priyanka, and Audited by: Premakani.
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