Year-End Compliance Checklist

  • by ICBSD
  • Nov 13, 2019
  • 0

Date(s) - 11/13/2019
2:30 pm - 3:30 pm


As the end of the year approaches, now is a great time to ensure your institution’s compliance responsibilities have been completed. This webinar is designed as a compliance program check-up while there is still time to address any overlooked items. Learn how to prepare a compliance management assessment to showcase the year’s compliance efforts. It’s important to clearly document your compliance activities for the next regulatory compliance examination.

This webinar will cover the compliance reviews, board reporting, and training efforts that should be completed annually. It will include tips on conducting the annual SAFE Act review, 2019 compliance changes, and what’s on the horizon for 2020. Join us to analyze your 2020 compliance plan to ensure it includes monitoring activities based upon the compliance risk assessment, most recent regulatory examination, and internal monitoring findings from the prior year. Attendance certificate provided to self-report CE credits.



  • Tips on documenting and reporting compliance program accomplishments from the year
  • Ensuring the required training, auditing, and reporting has been completed
  • Helpful hints on monitoring activities to ensure that identified exceptions have been addressed
  • Tips on conducting the SAFE Act annual audit
  • 2020 compliance changes on the horizon
  • Quick review of 2019 regulatory compliance changes to ensure that all have been addressed
    • Compliance management assessment template
    • Year-end compliance checklist
    • Sample SAFE Act audit
    • Project plan spreadsheet
    • Chart to track annual threshold adjustments
    • Employee training log
    • Interactive quiz


This informative session will benefit staff responsible for the institution’s compliance program, including compliance, audit, and risk department team members.


  • $230 – Live Webinar
  • $230 – Recorded Webinar + Free Digital Download
  • $350 – BOTH Live Webinar and Recorded Webinar + Free Digital Download


NOTE:  All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your financial institution is prohibited. Print materials may be copied for eligible participants only.