Effective client management starts with consistent processes. These templates and checklists are designed to help independent brokers and small firms establish repeatable workflows that improve efficiency while maintaining the personal service that distinguishes smaller practices from larger competitors.
Each template focuses on a specific aspect of broker operations, from the initial client onboarding process through to renewal preparation and beyond. They're designed to be adapted to your specific practice and regulatory environment.
Customisation Required
These templates provide starting points that should be adapted to your specific regulatory requirements, client types, and operational practices. Review all materials with appropriate compliance guidance before implementation.
Available Templates
Client Onboarding Checklist
Step-by-step checklist covering initial contact, information gathering, compliance requirements, and account setup for new clients.
Document Request List
Comprehensive list of documents typically needed for various client types and insurance categories, with clear descriptions.
Renewal Preparation Checklist
Timeline-based checklist for managing the renewal process, from initial review through to binding coverage.
Website Brief Template
Structured brief for planning a broker website, covering content requirements, functionality, and technical considerations.
Client Meeting Agenda
Structured agenda template for different meeting types: initial consultation, annual review, and claims discussion.
Risk Assessment Form
Basic risk assessment template for gathering information about client exposures and coverage requirements.
Compliance Audit Checklist
Self-assessment checklist for reviewing compliance status across key regulatory areas and documentation requirements.
Client Communication Log
Template for tracking all client communications with date, type, summary, and follow-up requirements.
Claims Notification Template
Structured template for gathering information when a client reports a claim, ensuring all necessary details are captured.
File Review Checklist
Quality assurance checklist for reviewing client files to ensure completeness and compliance with requirements.
How to Use These Templates
These templates are designed as starting points that you can adapt to fit your specific practice. Here's how to get the most from them:
1. Review Before Implementing
Each template should be reviewed against your regulatory requirements and internal policies before use. What works for one broker may need adjustment for another based on:
- The types of insurance you handle
- Your client demographics and communication preferences
- Specific regulatory requirements in your jurisdiction
- Your existing systems and workflows
2. Customise to Your Practice
Add your firm's branding, contact details, and any specific language required by your compliance framework. Consider creating versions tailored to different client types or product lines if your practice is diverse.
3. Train Your Team
Ensure everyone who will use the templates understands their purpose and how to complete them consistently. Templates only improve efficiency when used correctly across the team.
4. Review Regularly
Set a schedule to review your templates periodically—at least annually—to ensure they remain current with regulatory changes and reflect your evolving practice.
Best Practice Tip
Keep version-controlled copies of your customised templates and maintain a change log when you update them. This helps with compliance audits and ensures everyone uses current versions.
