Checklist template

Branch merchandising and regulatory notice compliance

A ready-to-use checklist with 118 items in 6 sections, covering Posters and screens, Brochures, Rate boards, Required notices, Campaign timing, Condition. Use it as-is in Bindy, or adapt it to your own standards in minutes.

  • 6 Sections
  • 118 Items
  • 98 Yes / No checks
  • 6 Scored ratings
  • 128 Points

Use this template How audits work

1. Posters and screens 17 items

  1. Every poster frame in the lobby holds a poster listed in the current marketing planogram Yes / No 1 pt
  2. Window posters face the street in the window positions shown in the campaign guide Yes / No 1 pt
  3. The poster nearest the teller line promotes the product assigned to that position for this campaign Yes / No 1 pt
  4. Every promotional sign on display was produced by marketing or approved by marketing in writing Yes / No 1 pt
  5. Posters that advertise a rate or a cash bonus carry the disclosure footnote printed by marketing Yes / No 1 pt
  6. Posters for non-deposit investment products hang only in the advisor area, away from the teller line Yes / No 1 pt
  7. The ATM vestibule frame holds the current campaign insert Yes / No 1 pt
  8. Drive-up lane signs show the current campaign panel or the standard brand panel Yes / No 1 pt
  9. Teller counter mats or counter toppers show the current campaign Yes / No 1 pt
  10. Lobby digital screens are switched on and playing the corporate playlist Yes / No 1 pt
  11. One full loop of the screen playlist, watched by the inspector, showed no expired offer Yes / No 1 pt
  12. Screen sound is muted or set at the volume given in the brand standard Yes / No 1 pt
  13. No lobby screen shows an error message, a login prompt or a frozen image Yes / No 1 pt
  14. The self-service kiosk or lobby tablet opens on the current campaign home screen Yes / No 1 pt
  15. Posters and window graphics leave a clear view from the street to the teller line, per the security standard Yes / No 1 pt
  16. Number of poster frames that are empty or hold a poster not in the planogram Number
  17. Match between the posters displayed and the planogram Rating
    • Every position matches 5 pts
    • One or two positions differ 3 pts
    • Three or more positions differ 1 pt

2. Brochures 19 items

  1. The brochure rack has one pocket for each product in the brochure planogram Yes / No 1 pt
  2. Pockets follow the left-to-right order of the brochure planogram Yes / No 1 pt
  3. No brochure pocket is empty Yes / No 1 pt
  4. Each brochure sampled carries the version code shown on the current version list from marketing Yes / No 1 pt
  5. The personal account fee schedule is available to take at each desk where accounts are opened Yes / No 1 pt
  6. The account agreement booklet is in stock at each desk where accounts are opened Yes / No 1 pt
  7. The deposit rate sheet in the rack carries the same effective date as the rate board Yes / No 1 pt
  8. Mortgage and home loan brochures carry the equal housing or fair lending logo, where local regulation requires it Yes / No 1 pt
  9. Brochures for non-deposit investment products sit in a separate rack or tier labeled as investments Yes / No 1 pt
  10. Brochures are stocked in each language designated for this branch Yes / No 1 pt
  11. Printed copies of the privacy notice are available on request at the new accounts desk Yes / No 1 pt
  12. No flyer from an outside business or organization is in the rack without marketing approval Yes / No 1 pt
  13. Business cards displayed at desks belong to employees who currently work at this branch Yes / No 1 pt
  14. Brochure back stock is stored in a labeled cabinet, not in open cartons on the floor Yes / No 1 pt
  15. Back stock of each core brochure is at or above the minimum quantity set by marketing Yes / No 1 pt
  16. Superseded brochures have been removed from back stock and recycled or shredded Yes / No 1 pt
  17. Number of empty brochure pockets counted Number
  18. Date of the last brochure reorder Date
  19. State of the brochure rack Rating
    • Full, current and in planogram order 5 pts
    • Current but with gaps or out of order 3 pts
    • Outdated brochures on display 1 pt

3. Rate boards 20 items

  1. The deposit rate board shows its effective date Yes / No 1 pt
  2. Five deposit rates read from the board match the rate sheet issued by head office for today Yes / No 1 pt
  3. Each deposit interest rate on the board is shown with its annual yield, where required by local regulation Yes / No 1 pt
  4. Each loan rate on the board is shown with its annual percentage rate, where required by local regulation Yes / No 1 pt
  5. The minimum balance needed to earn each displayed rate appears on the board or its footnote Yes / No 1 pt
  6. Each promotional rate on the board shows the date the offer ends Yes / No 1 pt
  7. Mortgage rates on the board state the term and whether the rate is fixed or variable Yes / No 1 pt
  8. The digital rate board shows a last-update time from today Yes / No 1 pt
  9. The manual rate board has no missing digit, letter or decimal point Yes / No 1 pt
  10. No rate on the board has been corrected by hand or covered with a sticker Yes / No 1 pt
  11. The foreign exchange board, if the branch has one, shows today's date and update time Yes / No 1 pt
  12. A rate printed on any window or lobby poster agrees with the rate board Yes / No 1 pt
  13. The rate sheet at the new accounts desk has the same effective date as the board Yes / No 1 pt
  14. A rate quoted by an employee asked during the visit agreed with the board Yes / No 1 pt
  15. The rate board can be read from the head of the teller queue Yes / No 1 pt
  16. A named employee and a named backup are responsible for updating the rate board Yes / No 1 pt
  17. The rate change log is initialed for the most recent rate change Yes / No 1 pt
  18. Effective date shown on the deposit rate board Date
  19. Number of sampled rates that did not match the head office rate sheet Number
  20. Accuracy of the rate board Rating
    • All sampled rates correct and dated 5 pts
    • Rates correct but date or footnote missing 3 pts
    • One or more rates incorrect 1 pt

4. Required notices 21 items

  1. The official deposit insurance sign is displayed at each teller station that takes deposits, as required by local regulation Yes / No 1 pt
  2. The deposit insurance sign is displayed at each new accounts desk Yes / No 1 pt
  3. No deposit insurance sign is displayed at a desk used only for non-deposit investment sales Yes / No 1 pt
  4. The notice that investment products are not deposits, are not insured and may lose value is displayed where they are sold Yes / No 1 pt
  5. The fair lending or equal housing poster is displayed where loan applications are taken, as required by local regulation Yes / No 1 pt
  6. The funds availability (deposit hold) policy notice is posted where deposits are accepted in the lobby Yes / No 1 pt
  7. The funds availability notice is displayed at the drive-up window Yes / No 1 pt
  8. Required notices are posted in each language the branch is designated to serve, per company policy Yes / No 1 pt
  9. The complaint-handling notice or brochure is displayed in the lobby, as required by local regulation Yes / No 1 pt
  10. The customer identification notice explaining why ID is requested is displayed at the new accounts desks Yes / No 1 pt
  11. The community reinvestment or public accountability notice is posted in the lobby, where local regulation requires one Yes / No 1 pt
  12. The video surveillance notice is posted at the entrance, where required by local regulation Yes / No 1 pt
  13. The notice of services for customers with disabilities or needing language assistance is displayed, per company policy Yes / No 1 pt
  14. Branch hours on the entrance door match the hours published on the company website Yes / No 1 pt
  15. The closure notice for the next public holiday is posted at the entrance and at the drive-up Yes / No 1 pt
  16. Each required notice is the official printed version, not a photocopy Yes / No 1 pt
  17. No required notice is hidden by a poster, plant, screen or piece of furniture Yes / No 1 pt
  18. The compliance checklist of required notices was completed for this branch in the last quarter Yes / No 1 pt
  19. Date of the last completed required-notice checklist Date
  20. Number of required notices found missing during the visit Number
  21. Required notices Rating
    • All present, current and in full view 5 pts
    • All present, one or two partly hidden or worn 3 pts
    • One or more missing or outdated 1 pt

5. Campaign timing 20 items

  1. The current campaign kit arrived before the launch date Yes / No 1 pt
  2. The packing list of the current kit was checked off and no item is missing Yes / No 1 pt
  3. Missing or damaged kit items were reported to marketing within the time set in the campaign guide Yes / No 1 pt
  4. The current campaign was installed on its launch date, per the marketing calendar Yes / No 1 pt
  5. Materials of the previous campaign were taken down on its end date Yes / No 1 pt
  6. No material on display shows an offer whose expiry date has passed Yes / No 1 pt
  7. Seasonal materials from a past season (tax time, retirement contribution deadline, back to school) have been removed Yes / No 1 pt
  8. The installation photo or confirmation was sent to marketing by the deadline Yes / No 1 pt
  9. The marketing calendar for the quarter is posted in the back office Yes / No 1 pt
  10. The offer terms sheet for the current campaign is at each advisor desk Yes / No 1 pt
  11. Two employees asked could state the current offer and its end date Yes / No 1 pt
  12. A kit received for the next campaign is stored in the back office and nothing from it is displayed early Yes / No 1 pt
  13. Removed campaign materials were destroyed or returned as the kit instructions require Yes / No 1 pt
  14. Signs for a local sponsorship or community event were approved by marketing and show an end date Yes / No 1 pt
  15. Name of the campaign currently displayed Short text
  16. Launch date of the campaign currently displayed Date
  17. End date of the campaign currently displayed Date
  18. Days between the launch date and the day the campaign was installed Number
  19. Name of the employee responsible for installing campaigns Short text
  20. Campaign execution Rating
    • Complete and installed on the launch date 5 pts
    • Installed late or with items missing 3 pts
    • Not installed, or previous campaign still displayed 1 pt

6. Condition 21 items

  1. Every letter of the exterior branch sign lights up Yes / No 1 pt
  2. Pylon or monument sign panels are intact and not faded Yes / No 1 pt
  3. Window decals for hours and logos are whole, with no peeling edges Yes / No 1 pt
  4. Glass doors and windows carry no tape or adhesive residue from old posters Yes / No 1 pt
  5. Poster frames are uncracked and hold their posters flat Yes / No 1 pt
  6. Posters show no fading, curling, tears or water stains Yes / No 1 pt
  7. Brochure racks are clean and have no broken pocket Yes / No 1 pt
  8. Digital screens are clean, mounted level and free of dead pixels or lines Yes / No 1 pt
  9. Power and data cables of screens are hidden from customer view Yes / No 1 pt
  10. Queue stanchion sign toppers are present and straight Yes / No 1 pt
  11. Each staffed desk has a nameplate in the brand standard Yes / No 1 pt
  12. ATM surround graphics and decals are not scratched, faded or peeling Yes / No 1 pt
  13. Drive-up lane numbers and clearance signs are legible from a vehicle Yes / No 1 pt
  14. Notice plaques and deposit insurance signs are not faded, cracked or yellowed Yes / No 1 pt
  15. The check-writing stand holds only the current version of deposit and withdrawal slips Yes / No 1 pt
  16. The date display on the check-writing stand shows today's date Yes / No 1 pt
  17. Floor graphics lie flat with no lifted edge Yes / No 1 pt
  18. Freestanding promotional displays are stable and stand clear of the path to the tellers and the exits Yes / No 1 pt
  19. Overall condition of signs and displays Rating
    • Like new 5 pts
    • Minor wear on a few pieces 3 pts
    • Damaged or faded pieces on display 1 pt
  20. Name of the branch manager on duty Short text
  21. Comments and corrective actions Comments

About this template

This checklist is part of the Bindy template library. Yes / No checks score 1 point when met; ratings score the points shown for each option. The overall score is the percentage of points earned, with N/A answers excluded. In Bindy you can add photos, assign corrective actions, require sign-off and compare results across sites.

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