DDQ Compliance Checklist for Financial Services 2026

This document is a compliance checklist designed for financial services institutions to navigate the requirements of Due Diligence Questionnaires (DDQs) in regulated environments. It outlines seven key compliance sections, including Data Security & Encryption, Access Controls & Authentication, and Audit Trails & Version Control, among others. Each section details specific controls and documentation requirements that organizations must implement to ensure compliance during the DDQ process. The checklist emphasizes the importance of maintaining an audit trail, ensuring data security, and adhering to compliance certifications and standards. Additionally, it includes an appendix that identifies common pitfalls that can trigger audit findings, such as stale content and lack of evidence for approvals. The checklist serves as a practical guide for compliance, InfoSec, and operations teams to confirm and document their adherence to regulatory requirements effectively.