Corporate Compliance Testing Excel Template

Completion: Within a week.
Format: Excel OR PowerPoint
Previous work: Please share some work done.
Budget: Submit quotes if range may not adjust.

Task Description:
I am seeking an experienced Excel professional to build a dynamic and user-friendly Excel template to support a corporate Compliance Monitoring and Testing Program. This tool will be used to test routine transactions across multiple compliance categories (e.g. hospitality, travel, donations, discounts) and should be structured in a way that promotes ease of use, data consistency, and dashboard reporting.

The final product must be structured, polished, and professionally presented — suitable for use by Compliance Leads in different countries and throughout the fiscal year.

Must:
1. Be fully editable so I can complement detailed definitions in dedicated space for legend) for main attributes, or other items that require more written detail.
2. Each testable item must be in one excel tab. For example, Hospitality (Meals and Refreshments), Product and Brand Promotion, Company-organized educational events, Company-organized Marketing Events, Arrangements with HCPs, Social Media, Commercial Sponsorships, Commercial Transactions (Tenders, Discounts, Rebates), etc. There are more.
3. Dashboards must be for the Testing performed quarterly, but also another one that can compile the data for the year.
4. Year commences 1st April and ends 31st March. Quarters are broken down from April to June, July to September, October to December, January to March.

Required Features:

1. Testing Setup Section (Section 1)

To be completed at the start of every testing round:
-Type of activity (dropdown)
-Definition of the activity (auto-populated)
-Risk analysis section (dropdown: Low, Medium, High)
-Scope (months/period covered)
-Person or function providing the data
-Confirmation of accuracy and completeness of data (dropdown Yes/No + optional comments)
-Sampling method (dropdown with definitions accessible in a reference tab or side panel):
•Risk-based
•Judgmental
•Random
•Coverage-based (value-weighted)
•Sample size (numeric) and sampling unit (Qty or %)
•Date of testing execution
•Free text: “Other considerations”

2. Attribute Testing Table (Section 2)

This tab should auto-populate up to 60 rows for testing.
-Based on the activity selected in the Setup Tab, the relevant attributes should be auto-filled.
-Each row represents a sample tested.
-Columns include:
-Sample ID
-Attribute
-Result (dropdown: Pass / Fail / N/A)
-Comments
-Any “Fail” result will automatically trigger a required Root Cause Analysis in a separate tab.

3. Root Cause Analysis (Section 3)

For each “Fail” entry from the Attribute Testing Tab:
-Auto-populated fields: Sample ID, Attribute, Summary of Finding
-Open text fields for the 5 Whys analysis
-Dropdown to classify observation risk rating:
•Level 1 (Green): No exceptions found
•Level 2 (Yellow): No exceptions but recommendations to improve compliance
•Level 3 (Orange): Potential legal risk or violation of company standards
•Level 4 (Red): Substantial compliance issues that may require escalation/investigation
Mandatory fields:
•Suggested mitigation action from Compliance Lead (free text)
•Risk substantiation (free text)
•Due date for completion

4. Dashboards (Sections 4 & 5)

Two types of dashboards required:
-Per testing round output:
•Pie chart or bar graph of pass/fail by attribute
•Pie chart or Bar graphs by activity and attribute performance
•Breakdown of issues by risk level (color coded)
•Number of major findings, due/overdue actions
•Cumulative dashboard across all testing rounds (of individual and cumulative tested activities) (toggle/filter by quarter and fiscal year):
•The tool should allow easy appending of data per quarter and year
•Fiscal year runs from 1 April to 31 March

Other Considerations:
-Must include dropdowns, color coding, and conditional formatting for ease of use
-Must have a clearly labeled Lookup/Reference tab for:
•Attribute definitions per activity
•Sampling method definitions
•Observation level definitions
•All formulas should be protected but modifiable if needed later
•The template must be reusable each quarter and allow easy duplication without breaking formulas
•File to be delivered in .xlsx format (no macros preferred, unless essential)