100+ Accounting Firm SOPs (Excel XLSX)

BENEFITS OF THIS EXCEL DOCUMENT

1. Provides a complete, end-to-end framework for designing, documenting, and scaling standardized accounting firm operations across all service lines.
2. Delivers a ready-to-use SOP architecture that accelerates compliance, improves service consistency, and reduces partner and staff dependency.
3. Enables rapid implementation of firm-wide governance, tax, audit, advisory, and back-office processes through a structured, Excel-based SOP system.

MANAGEMENT ACCOUNTING EXCEL DESCRIPTION

This product (100+ Accounting Firm SOPs) is an Excel template (XLSX), which you can download immediately upon purchase.

Curated by McKinsey-trained Executives

🚀 100+ Accounting Firm SOPs Library

The Ultimate Excel-Based Operating System for Modern Accounting, Tax, Audit & Advisory Firms

**Stop building SOPs from scratch.
Stop relying on tribal knowledge.
Stop risking compliance failures, staff burnout, and inconsistent client delivery.**

This 150+ Accounting Firm SOPs Library is a ready-to-deploy Excel-based SOP framework engineered specifically for public accounting firms, CPA firms, and multi-service professional services firms that want scalability, consistency, profitability, and audit-ready operations – fast.

This is not theory.
This is battle-tested firm infrastructure.


💥 What You're Getting
A professionally structured, Excel-based SOP template library containing 150 fully defined Accounting Firm SOPs, organized into 15 operational clusters, covering every core and support function of a modern accounting firm.

Each SOP is pre-designed and standardized with the following sections:
•  Purpose
•  Scope
•  Owner / Role
•  Inputs (Required Information & Documents)
•  Process Steps (Detailed Workflow)
•  Outputs / Deliverables
•  KPIs / Success Metrics
•  Risks / Controls
•  Review Frequency

You customize the content.
We give you the structure, logic, and operational backbone.


🔥 Why you need this
•  Hiring faster than your documentation can keep up
•  Inconsistent service quality across teams and offices
•  Partners stuck in operations instead of growth
•  Failed peer reviews, messy audits, and compliance stress
•  No scalable onboarding or training system
•  Revenue leakage from poor billing, write-offs, and scope creep

This SOP library fixes that. Permanently.


📂 Complete SOP Library
Cluster 1 – Firm Governance & Strategy
1. Firm Vision & Mission SOP
2. Strategic Planning SOP
3. Annual Business Plan SOP
4. Partner Decision-Making SOP
5. Firm Policy Management SOP
6. Risk Governance SOP
7. Ethics & Professional Conduct SOP
8. Regulatory Compliance Oversight SOP
9. Quality Management System SOP
10. Firm Performance Review SOP

Cluster 2 – Client Acceptance & Retention
11. Client Acceptance Criteria SOP
12. Client Background Check SOP
13. Conflict of Interest Evaluation SOP
14. Client Risk Rating SOP
15. Engagement Approval SOP
16. Client Onboarding SOP
17. Engagement Renewal SOP
18. Client Offboarding SOP
19. Disengagement SOP
20. Client Feedback Collection SOP

Cluster 3 – Engagement Management
21. Engagement Planning SOP
22. Engagement Budgeting SOP
23. Engagement Letter Preparation SOP
24. Scope Change Management SOP
25. Engagement Scheduling SOP
26. Workpaper Management SOP
27. Engagement Review SOP
28. Engagement Completion SOP
29. Engagement Documentation SOP
30. Engagement Archiving SOP

Cluster 4 – Accounting & Bookkeeping Services
31. Chart of Accounts Setup SOP
32. General Ledger Maintenance SOP
33. Journal Entry Processing SOP
34. Bank Reconciliation SOP
35. Accounts Payable Processing SOP
36. Accounts Receivable Processing SOP
37. Payroll Processing SOP
38. Fixed Asset Accounting SOP
39. Month-End Close SOP
40. Year-End Close SOP

Cluster 5 – Tax Services
41. Tax Engagement Planning SOP
42. Tax Data Collection SOP
43. Tax Return Preparation SOP
44. Tax Review SOP
45. Tax Filing SOP
46. Estimated Tax Calculation SOP
47. Tax Payment Processing SOP
48. Tax Extension SOP
49. Tax Notice Response SOP
50. Tax Document Retention SOP

Cluster 6 – Audit & Assurance
51. Audit Client Acceptance SOP
52. Audit Planning SOP
53. Risk Assessment SOP
54. Internal Control Evaluation SOP
55. Substantive Testing SOP
56. Audit Sampling SOP
57. Audit Documentation SOP
58. Audit Review SOP
59. Audit Reporting SOP
60. Audit File Archiving SOP

Cluster 7 – Advisory & Consulting Services
61. Advisory Engagement Scoping SOP
62. Financial Analysis SOP
63. Budgeting & Forecasting SOP
64. Cash Flow Advisory SOP
65. Internal Process Review SOP
66. Management Reporting SOP
67. Valuation Services SOP
68. Due Diligence SOP
69. Advisory Deliverable Review SOP
70. Advisory Engagement Closure SOP

Cluster 8 – Quality Control & Assurance
71. Quality Control Policy SOP
72. Engagement Quality Review SOP
73. Peer Review Preparation SOP
74. Technical Consultation SOP
75. Error Identification SOP
76. Corrective Action SOP
77. Continuous Improvement SOP
78. Professional Standards Monitoring SOP
79. Quality Metrics Reporting SOP
80. Quality Documentation SOP

Cluster 9 – Human Resources
81. Workforce Planning SOP
82. Recruitment & Hiring SOP
83. Employee Onboarding SOP
84. Training & Development SOP
85. Performance Evaluation SOP
86. Compensation & Benefits SOP
87. Promotion & Career Path SOP
88. Disciplinary Action SOP
89. Employee Offboarding SOP
90. HR Record Management SOP

Cluster 10 – Time, Billing & Revenue
91. Time Tracking SOP
92. Billing Rate Management SOP
93. Invoice Preparation SOP
94. Invoice Review SOP
95. Invoice Delivery SOP
96. Retainer Management SOP
97. Write-Up & Write-Down SOP
98. Revenue Recognition SOP
99. Collections SOP
100. Billing Dispute Resolution SOP

Cluster 11 – Client Communication & Relationship Management
101. Client Communication Standards SOP
102. Meeting Management SOP
103. Status Update SOP
104. Deliverable Presentation SOP
105. Client Issue Escalation SOP
106. Complaint Handling SOP
107. Client Satisfaction Review SOP
108. Key Account Management SOP
109. Client Education SOP
110. Relationship Review SOP

Cluster 12 – Technology & Data Management
111. Accounting Software Setup SOP
112. IT Access Management SOP
113. Data Backup SOP
114. Cybersecurity SOP
115. Cloud System Usage SOP
116. Software Update SOP
117. Data Migration SOP
118. System Incident Response SOP
119. Technology Vendor Management SOP
120. IT Documentation SOP

Cluster 13 – Information Security & Privacy
121. Confidentiality Policy SOP
122. Data Classification SOP
123. Secure File Transfer SOP
124. Document Encryption SOP
125. Privacy Compliance SOP
126. Breach Response SOP
127. Client Data Access SOP
128. Physical Security SOP
129. Records Retention SOP
130. Secure Disposal SOP

Cluster 14 – Financial Management (Internal Firm)
131. Firm Budgeting SOP
132. Cash Management SOP
133. Expense Approval SOP
134. Accounts Payable SOP
135. Accounts Receivable SOP
136. Partner Compensation SOP
137. Profit Distribution SOP
138. Financial Reporting SOP
139. Internal Audit SOP
140. Financial Controls SOP

Cluster 15 – Legal, Compliance & Continuity
141. Regulatory Monitoring SOP
142. Licensing & CPE Compliance SOP
143. Contract Management SOP
144. Insurance Management SOP
145. Legal Matter Handling SOP
146. Litigation Response SOP
147. Business Continuity Planning SOP
148. Disaster Recovery SOP
149. Succession Planning SOP
150. Crisis Management SOP

🧠 Why This Excel SOP Library Converts Firms Into Machines
•  ✅ Audit-ready & peer-review friendly
•  ✅ Perfect for ISO, AICPA QC, and regulatory alignment
•  ✅ Ideal for training, onboarding, and delegation
•  ✅ Built for multi-partner and multi-office firms
•  ✅ Instantly customizable to your firm's policies
•  ✅ Works with any accounting tech stack

This is firm infrastructure, not a template toy.


🎯 Who This Is For
•  CPA firms (small, mid-size, and growing)
•  Accounting & bookkeeping firms
•  Tax-only or audit-heavy firms
•  Advisory-led firms
•  Firms preparing for scale, M&A, or succession
•  Firms tired of operational chaos

⚡ Bottom Line

If you want:
•  More control
•  Higher margins
•  Less partner dependency
•  Faster staff ramp-up
•  Stronger compliance
•  Predictable delivery

This SOP Library pays for itself immediately.



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Source: Best Practices in Management Accounting Excel: 100+ Accounting Firm SOPs Excel (XLSX) Spreadsheet, SB Consulting