Compliance Year-End Checklist
Updated 10/23/2026
This customizable checklist helps banks review year-end compliance responsibilities, identify outstanding tasks, and prepare for the upcoming year. It covers Board responsibilities, policies and procedures, training, audits, regulatory reporting, risk management, and other key compliance areas.
Rule: Various
Toolkit: Audit & Internal Monitoring
Keywords: Year-End Checklist; Compliance Checklist; Year-End Compliance; End of Year Compliance Checklist; EOY Compliance Checklist; EOY Checklist
10/23/2026 – Comprehensively revised and expanded the checklist to reflect current regulatory requirements and examiner expectations. Added new sections addressing mortgage lending and servicing, deposits and operations, risk management, customer disclosures, regulatory thresholds, and state-specific requirements. Changes are highlighted throughout the document.
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