Customs Brokerage Compliance Checklist
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Licensing & Registration
Ensuring compliance with regulatory requirements for Customs Broker licenses and registrations.
Customs Broker License Number
License Expiration Date
License Status (Active/Inactive/Suspended)
Jurisdiction(s) Licensed To Operate In
Other Jurisdictions (If selected above)
Copy of Customs Broker License
Client Due Diligence (CDD)
Verifying client identity, beneficial ownership, and risk profile to comply with anti-money laundering and trade compliance regulations.
Client Business Description
Client Entity Type
Client Tax ID/EIN
Ultimate Beneficial Owner (UBO) Information (Name, Address, Percentage of Ownership)
Countries of Origin for Goods
KYC Documentation (e.g., Articles of Incorporation, Passport Copies)
Entry Filing & Documentation
Focusing on accurate and complete customs entry documentation and adherence to filing requirements.
Entry Type Selection (e.g., Formal, Temporary)
Description of Goods
Quantity of Goods
Weight (kg/lbs)
Commercial Invoice
Packing List
Incoterms (e.g., FOB, CIF)
Date of Entry Filing
Any Remarks/Special Instructions for Customs
Record Keeping & Audit Trails
Maintaining comprehensive records and audit trails related to brokerage activities.
Record Retention Policy Last Review Date
Number of years records are retained (minimum)
Summary of Record Keeping Procedures
Sample Record Keeping Policy Document
Method of Record Storage (Electronic/Physical/Hybrid)
Description of Audit Trail System (if applicable)
Frequency of Internal Audits (Record Keeping Focused)
Summary of recent audit findings and corrective actions taken regarding record keeping.
Duty & Tax Management
Ensuring accurate calculation, payment, and reporting of duties, taxes, and other fees.
Duty Calculation Accuracy Rate (Monthly)
Method for verifying declared values
Percentage of Entries with Duty/Tax Discrepancies (Monthly)
Last Review Date of Duty/Tax Calculation Procedures
Description of Procedures for Handling Overpayments/Underpayments
System Used for Duty/Tax Calculation & Reporting
Number of Audits Performed on Duty/Tax Calculations (Annually)
Upload sample calculation audit report
Restricted Party Screening
Implementing procedures to screen against restricted party lists and ensure transactions don't violate export/import controls.
Screening Method
Restricted Party Lists Screened Against (Select all that apply)
Last Screening List Update Date
Software Used for Screening (if applicable)
Procedure for Handling Matches/Potential Matches
Example Screening Log/Record (for audit purposes)
Escalation Path for Match Verification
Average Time to Verify Potential Matches (in business days)
Compliance Training & Awareness
Providing ongoing training to brokerage personnel on relevant customs regulations and compliance procedures.
Last Training Completion Date
Training Modules Covered (Select all that apply)
Summary of Training Content Covered
Hours of Training Completed (per employee)
Training Delivery Method
Upload Training Certificates/Records (optional)
Internal Controls & Risk Management
Establishing internal controls to prevent and detect compliance breaches and mitigating identified risks.
Number of Compliance Reviews Conducted Annually
Risk Assessment Methodology Used
Summary of Key Risks Identified in the Most Recent Risk Assessment
Types of Internal Audits Performed (select all that apply)
Date of Last Internal Audit
Summary of Audit Findings and Corrective Actions Taken
Method for Monitoring Broker Performance
Designated Person Responsible for Risk Management
Reporting & Communication
Defining procedures for reporting compliance issues and maintaining communication with relevant stakeholders (clients, customs authorities).
Date of Last Compliance Report Submission
Summary of Reported Compliance Issues (if any) in the last reporting period
Number of Significant Compliance Issues Reported
Which Regulatory Bodies do you regularly communicate with?
Primary Communication Method with Clients Regarding Compliance Matters?
Description of Escalation Procedure for Compliance Issues
Date of Last Client Communication Regarding Regulatory Changes
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