Compliance Audit Checklist

Override & compliance checklist

Use this to assess readiness for auditor or regulator review.

• Override reasons captured at point of decision (not post-hoc)
• Structured reason codes (competitive match, aging, loyalty, etc.)
• F&I product waivers documented with reason
• Rate exceptions have audit trail
• Executive reports show override volume by reason/department/location
• Policy documented and communicated to staff
• Monthly override review process
• Data retention aligned with regulatory requirements

DealerInt addresses each of these. Start free trial.