Run New Account Quality Control Review — Free

Review Scope and Account Identification

Account number or unique file ID recorded critical (required)

Account type and ownership structure identified critical (required)

Opening date falls within review sample period critical (required)

Yes No N/A

Reviewer notes sample selection method

Customer Identification Program (CIP) Review

Customer name matches account records critical (required)

Yes No N/A

Date of birth or formation date captured as applicable critical (required)

Yes No N/A

Tax identification number or alternate identifier captured critical (required)

Yes No N/A

Physical address or principal business address captured critical (required)

Yes No N/A

Identity verification method documented critical (required)

CIP exceptions or missing items documented and escalated critical (required)

Yes No N/A

Government list screening completed where required critical (required)

Yes No N/A

Signature Cards and Account Authorization

Signature card present in file critical (required)

Yes No N/A

All required signatures obtained critical (required)

Yes No N/A

Signer authority matches account ownership and resolutions critical (required)

Yes No N/A

Signature card legible and fully completed

Yes No N/A

Disclosures and Required Notices

Required account disclosures present in file critical (required)

Yes No N/A

Disclosures match account type and product features critical (required)

Yes No N/A

Customer acknowledgment or evidence of delivery documented critical (required)

Yes No N/A

Any exceptions or late deliveries documented with approval

Yes No N/A

Beneficial Ownership and Business Account Documentation

Beneficial ownership certification completed when required critical (required)

Yes No N/A

Beneficial owners identified and documented critical (required)

Yes No N/A

Control person or authorized signer documented critical (required)

Yes No N/A

File Integrity, Exceptions, and Closeout

All reviewed documents are complete and legible critical (required)

Yes No N/A

Deficiencies or non-conformances documented

Yes No N/A

Corrective action owner and due date assigned

Inspector signature completed critical (required)

Get your results

Enter your email — we'll send you a PDF of your filled-out template, plus the occasional MangoScoop newsletter (templates, workflow tips, product updates). Unsubscribe anytime — link is in every email.

Email (required)

Your name (optional)

Run: New Account Quality Control Review

Review Scope and Account Identification

Customer Identification Program (CIP) Review

Signature Cards and Account Authorization

Disclosures and Required Notices

Beneficial Ownership and Business Account Documentation

File Integrity, Exceptions, and Closeout

Get your results