Year End Compliance Check List

With exams and audit cycles beginning soon in earnest, now is the time to prepare across the whole bank — how ready are you really? Have internal checks been consistently followed and applied?

Compliance Alliance is here to help.

With over 63 individual tools, webinars, videos and products tagged for audit readiness alone, Compliance Alliance sets your bank on a course for safety and/or soundness compliance that stands up to examination. But where should you start?

Let’s start here – with C/A’s Compliance Year-End Checklist. It’s attached to this email. Why? Because it’s a great overview starting at the Board-level and working through Policies, Training, IT, Privacy, Contingency Plans and Third-Part Relationships to name just a few. The checklist even works its way through a variety of reviews, evaluations, best practices, and appropriate actions that must be filed and reported. It’s a comprehensive and candid snapshot of where you are as a bank. We’ve even highlighted in yellow the regulatory year ahead (as scheduled so far) and federal bank holidays. Find an entire list of bank compliance tools and products in C/A’s Audit Toolkit.

How can you get more from Compliance Alliance? Make sure your people know how robust our service is. If you’ve been a member for a while, encourage your C/A Account Admins to tour our site again – we have lots that’s new – products, toolkits, training solutions, and content. If you’re new to C/A, find out what tools assist your Directors and CEO by taking the tour that is tailored to their needs.

As always, C/A stands ready to assist and guide 7 AM – 6 PM Central Time Zone; Monday through Friday. Reach out to us by email at:hotline@compliancealliance.com or by calling (888) 353-3933.