ChecklistGuro Insurance Internal Audit Checklist
Ensure compliance and minimize risk with our Insurance Internal Audit Checklist. Strengthen your internal controls, identify operational inefficiencies, and maintain regulatory adherence - all in one streamlined process. Download now and elevate your insurance operations!
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Policy Compliance & Documentation
Review of policy forms, endorsements, and adherence to legal and regulatory requirements.
Policy Effective Date
Policy Expiration Date
Policy Number
Policy Form Type
Summary of Coverage Terms
Copy of Policy Document
Regulatory Compliance Status
Jurisdiction/State
Claims Management Process
Assessment of claims handling procedures, reserves, and settlement authority.
Date of Loss Reported
Claim Number
Claim Type
Description of Loss
Estimated Loss Amount
Claim Status
Date of First Payment
Claims Adjuster Signature
Underwriting Practices
Evaluation of underwriting guidelines, risk selection, and pricing accuracy.
Average Loss Ratio (Last 3 Years)
Underwriting Guideline Adherence
Last Underwriting Guideline Review Date
Summary of Recent Underwriting Risks Identified
Types of Risks Currently Underwritten
Average Policy Premium
Reinsurance Program
Verification of reinsurance agreements, placement strategies, and recoverability.
Total Reinsurance Recoverable (USD)
Reinsurance Type (e.g., Proportional, Excess of Loss)
Last Reinsurance Treaty Renewal Date
Summary of Key Reinsurance Treaty Terms
Reinsurance Treaty Document(s)
Primary Reinsurer Credit Rating
Percentage of Risk Reinsured
Financial Reporting & Controls
Examination of financial statements, accounting practices, and internal controls related to insurance operations.
Total Premium Revenue (Year-to-Date)
Net Income/Loss (Year-to-Date)
Date of Last Financial Statement Review
Audit Opinion Type
Summary of Significant Accounting Policies
Supporting Financial Documentation (e.g., Trial Balance)
Reserve Adequacy Ratio
Regulatory Compliance
Review of adherence to applicable state and federal regulations, including licensing and reporting requirements.
Last Regulatory Exam Date
Primary Regulatory Body
Summary of Findings from Last Exam
Number of Open Regulatory Issues
Applicable Regulations (Select all that apply)
Copy of Exam Report
Date of Next Scheduled Exam
Data Security & Privacy
Assessment of data security measures, privacy policies, and compliance with relevant data protection laws.
Compliance Framework Adherence (e.g., GDPR, CCPA)
Specify 'Other' Compliance Framework (if selected above)
Number of Data Breach Incidents in Last Year
Last Data Security Risk Assessment Date
Data Encryption Methods Implemented
Data Access Controls
Specify 'Other' Data Access Controls (if selected above)
Business Continuity & Disaster Recovery
Evaluation of plans and procedures for maintaining business operations in the event of disruptions.
Last BC/DR Plan Review Date
Summary of Key Changes Since Last Review
BC/DR Plan Testing Frequency
Date of Last BC/DR Test
Summary of Test Results & Findings
Critical Systems Tested
Recovery Time Objective (RTO) - Hours
Recovery Point Objective (RPO) - Hours
BC/DR Plan Document
Customer Relationship Management
Assessment of customer service processes, complaint handling, and adherence to customer privacy commitments.
Number of Customer Complaints Received
Complaint Resolution Time Adherence
Summary of Recent Customer Feedback Trends
Channels Used for Customer Communication
Date of Last Customer Satisfaction Survey
Agent Training on Customer Service Best Practices
Internal Controls Effectiveness
Overall evaluation of the design and operating effectiveness of internal controls related to insurance operations.
Overall Internal Control Rating
Number of Control Deficiencies Identified
Summary of Key Control Deficiencies
Management Response to Control Deficiencies
Date of Last Control Self-Assessment
Reviewer Signature
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