Nov 13

Year-End Compliance Checklist

Registration Options & Pricing

Please select your membership status.

Recorded Webinar Includes

  • Recording of the Live Webinar
  • Available two Business Days Following Live Date
  • Handout and Take-Away Toolkit
  • Available on Desktop, Mobile & Tablet
  • Free Digital Download, yours to keep
  • Share link with anyone at your bank
  • Presenter’s contact info for follow-up

12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

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.


"New Compliance Officer Boot Camp"
Thursday, September 19, 2019

"Robbery Preparedness: Meeting Your Annual Compliance Requirement"
Tuesday, November 19, 2019


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.


Brode Consulting Services, Inc.
You might be interested in:

We provide bank webinars on compliance, lending, regulations, security, operations, new accounts, collections, fraud, security & other topics. For more information on bank education and online training opportunities, join our mailing list.