Year-End Compliance Checklist

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.

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