The Compliance Survival Kit: Resources Every Treasury Team Should Bookmark

System Integration & Source of Truth

Disconnected systems create blind spots across the compliance lifecycle. These tools help teams centralize entity records, enforce naming conventions, align ownership and control documentation, and maintain a single source of truth across treasury, legal, tax, and controllership functions. Increasingly, treasury platforms are serving as operational hubs: housing workflows, storing governance data, and integrating compliance-related reporting with financial planning.

 

Document Management SOP Template

• Who uses this: Ops manager standardizing document workflows
• Why it matters: Ensures consistent access and auditability

A standard operating procedure (SOP) framework for managing compliance documentation across finance, legal, tax, and treasury functions. It includes entity hierarchy tracking, document classification schemas, access controls by function, and version control protocols, designed to support audit trails, reduce regulatory risk, and streamline cross-functional reviews: ClickUp Template

 

Case Study: JLL Tax Compliance Automation

• Who uses this: Teams exploring tax technology tools
• Why it matters: Demonstrates real-world benefits of automation

Jones Lang LaSalle's (JLL) tax and finance teams unified their global compliance workflows by moving to an automated platform. The shift reduced manual effort, improved data integrity, and accelerated turnaround times for filings and reviews:Thomson Reuters Case Study

 

Reference & Verification Tools

When internal records aren’t enough, these tools bridge the gap. They connect practitioners to trusted registries used to verify entity status, legal standing, jurisdictional compliance, filing history, and Ultimate Beneficial Ownership (UBO). Whether confirming Legal Entity Identifiers (LEIs), retrieving annual reports, or checking registered agent updates, these resources support due diligence and audit-ready documentation.

 

Official Registries & Verification Tools

When verifying business status, ownership, or filing history, practitioners often turn to official public databases. These trusted registries provide direct access to critical information for due diligence, onboarding, and compliance checks.

 

U.S. Secretary of State Business Directories

• Who uses this: Legal team confirming registration status
• Why it matters: Verifies active entity status across states

Each U.S. state maintains its own registry of business entities. These directories allow teams to confirm legal standing, incorporation dates, and registered agents for domestic entities:Secretary of State Search

 

SEC EDGAR Search

• Who uses this: Compliance teams checking public company filings
• Why it matters: Ensures transparency and due diligence

The U.S. Securities and Exchange Commission's (SEC) EDGAR (Electronic Data Gathering, Analysis, and Retrieval) database offers full access to 10-Ks, 8-Ks, proxy statements, and other filings submitted by publicly traded companies and large institutional investors:EDGAR

 

OpenCorporates Global Registry

• Who uses this: International teams verifying companies across jurisdictions
• Why it matters: Provides access to official company data worldwide

OpenCorporates aggregates data from more than 140 official corporate registries worldwide. It enables users to verify legal entity status, retrieve jurisdiction-specific filings, confirm director appointments, and map entity hierarchies across borders. This tool is especially useful for cross-border onboarding, Know Your Customer (KYC) checks, and UBO (Ultimate Beneficial Ownership) validations: OpenCorporates

 

Articles and Legal Guidance

Compliance programs evolve not only in response to regulation but also to how governance, ownership, and operational models shift. These articles examine recent developments in the regulatory environment, offering frameworks that treasury and legal teams can reference as they refine internal policies and reporting protocols.

 

Corporate Transparency Act Reporting Requirements

• Who uses this: Entity or tax compliance lead managing annual filings
• Why it matters: Ensures filings are complete and timely under evolving federal rules

The Corporate Transparency Act establishes federal disclosure requirements for beneficial ownership among privately held entities. This legal reference outlines entity types subject to the rule, how to identify and report beneficial owners, and what deadlines apply for initial and updated filings. It is especially relevant for organizations navigating Financial Crimes Enforcement Network (FinCEN) reporting under the BOI rule: Corporate Transparency Act Reporting Requirements

 

Board Compliance: An Empirical Analysis

• Who uses this: Treasury/legal liaison preparing board compliance documentation
• Why it matters: Aligns internal reporting protocols with industry governance norms

Research from Harvard Law School’s Forum on Corporate Governance presents data on how boards engage with compliance oversight. It details board committee structures, the role of legal officers, and implications for internal reporting, particularly in regulated industries: Harvard Law School Forum on Corporate Governance

 

Tokenized Assets and Compliance

• Who uses this: Treasury team member evaluating fintech or decentralized finance exposure
• Why it matters: Prepares teams to document and explain emerging asset classes in audits

This Bloomberg Tax article examines how tokenized asset structures, such as cryptocurrencies and blockchain-based instruments, affect audit trails, transaction traceability, and regulatory compliance. It provides practical insights on integrating digital assets into existing internal control frameworks, with implications for treasury teams assessing decentralized finance (DeFi) exposure and preparing for evolving audit standards: Bloomberg Tax

 

On the Board’s Agenda: 5 Issues Testing Governance

• Who uses this: Practitioner tasked with updating board or exec decks
• Why it matters: Connects compliance data to broader enterprise risk priorities

Boards are focusing on ESG mandates, disclosure reform, and the role of compliance data in enterprise risk strategy. This analysis helps cross-functional teams align internal reporting with evolving governance expectations: Deloitte / Wall Street Journal Risk & Compliance

 

Frameworks & Standard Setters

Regulatory reporting depends not only on individual filings but also on how internal systems, controls, and policies are structured. These frameworks provide reference points for organizations formalizing compliance procedures across jurisdictions, functions, and reporting lines.

 

OECD Beneficial Ownership Guidelines

• Who uses this: Tax/treaty compliance coordinator across multi-entity structures
• Why it matters: Avoids penalties by aligning with FATCA/CRS disclosure requirements

Identifying and reporting beneficial ownership in multinational entity structures is critical for maintaining compliance with FATCA, the Common Reporting Standard (CRS), and related disclosure mandates. These global guidelines help tax and compliance teams document ownership chains, validate controlling interests, and align with jurisdictional transparency requirements: Global Forum on Transparency and Exchange of Information for Tax Purposes

 

COSO Internal Control Compliance Framework

• Who uses this: Treasury analyst or manager reviewing internal controls
• Why it matters: Supports stronger audit defense and internal consistency

Originally developed for enterprise risk management, Committee of Sponsoring Organizations (COSO) framework has become a foundational model for designing and evaluating internal controls over compliance and financial reporting: COSO

 

ISO 37301:2021 Compliance Management

• Who uses this: Ops or compliance lead structuring governance programs
• Why it matters: Provides a tested model for maintaining compliance across departments

This global standard sets out guidelines for establishing, developing, and maintaining an effective compliance management system, particularly in cross-border and regulated environments: ISO 37301:2021 Compliance management systems

 

Templates & Task Aids

Compliance often turns on execution: what’s filed, when, and in what format. These tools offer structure for recurring tasks, from document collection to internal governance updates. They support practitioners in staying organized, audit-ready, and aligned with evolving standards.

 

Quality Management Implementation Guide

• Who uses this: Treasury lead coordinating with auditors
• Why it matters: Reduces surprises and stress during audit season

The American Institute of Certified Public Accountants (AICPA) provides a quality management implementation aid designed to help firms meet evolving audit oversight standards. It includes a structured checklist, documentation templates, and guidance for aligning internal processes with regulatory expectations, which is especially valuable for treasury teams preparing for PCAOB or internal audit reviews: Resources to implement the QM standard

 

Sample KYC Document Lists

• Who uses this: Entity manager or onboarding coordinator
• Why it matters: Keeps internal records aligned with external partner requirements

Major banks such as JPMorgan, Citi, and HSBC publish sample Know Your Customer (KYC) requirements. These lists help internal teams assess onboarding readiness and document completeness: Institutional Bank Guidance

 

Open Source Legal Templates

• Who uses this: Treasury or legal ops support compiling board packages
• Why it matters: Speeds up governance documentation and reduces lawyer dependency

Free-access legal repositories such as Docracy offer editable templates for board resolutions, officer appointments, and written consents. These can support documentation of governance actions across entities: Docracy

 

Equip Your Team for Long-Term Compliance

Staying ahead in compliance requires reliable systems, structured workflows, and quick access to the right information. The resources outlined here are built to support that foundation, giving treasury teams the confidence to manage audits, track regulatory changes, respond to verification requests, and meet KYC and onboarding demands without missing a step.

As your obligations grow more complex across entities, departments, and jurisdictions, the right infrastructure becomes essential. When compliance tools are integrated, accessible, and aligned with your team’s daily operations, they stop being a burden and start becoming a strategic advantage.

Now is the time to standardize, centralize, and strengthen the systems that support compliance—before the next deadline hits.