Who this is for

Built for revenue recognition, procure-to-pay, payroll, treasury, and entity-level controls for finance and affected business units.

Every section below is included in your download, summaries only shown here, not the policy text.

• —

  Document control

  Owner, version, review cycle, and approval fields ready to customize.

• 1

  Purpose

  Why this policy exists and the outcomes it supports.

• 2

  Scope

  Who and what systems, locations, and activities are in scope.

• 3

  Definitions

  Key terms defined in a table for consistent interpretation.

• 4

  Roles and responsibilities

  Accountability for executives, owners, managers, staff, and IT.

• 5

  Policy requirements

  Numbered, audit-ready controls you can adopt or tailor.

• 6–8

  Exceptions, monitoring, enforcement

  Exception process, review cadence, and consequences of non-compliance.

• 9–10

  Regional compliance and framework mapping

  US, EU, and global obligations plus mapped control themes.

• A–C

  Appendices

  Customization notes, document history, and approval signatures.

Requirement themes addressed, not the verbatim policy language.

• Document key financial processes with control owners and control activities.
• Enforce SoD in ERP systems
• Require dual approval for wire transfers, vendor bank changes
• Reconcile bank and sub-ledger accounts monthly with timely resolution of variances.
• Close books according to published calendar with CFO certification.
• Support external audit with evidence requests within agreed timelines.
• Investigate control deficiencies and material weaknesses with remediation plans.
• Train finance staff on control responsibilities annually.
• Prohibit override of system controls without documented approval and review.
• Report control metrics and fraud allegations to audit committee where applicable.