Simplifying the Compliance Function: Tools & Checklists to Keep You on Track

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On-Demand Access Includes:

  • Unlimited Access to Webinar Recording
  • Can be viewed anytime 24/7, beginning 2 business days after the webinar
  • Handout and Take-Away Toolkit
  • Available on Desktop, Mobile & Tablet
  • Free Digital Download, yours to keep
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  • Presenter’s contact info for follow-up

This is a 90-minute webinar.

Whether you are a new compliance officer or a seasoned veteran, everyone is looking for ways to manage increasing compliance responsibilities. Do you need a way to document monitoring activities? Is your exception tracking process efficient? Are you maximizing available electronic resources? Now is a great time to incorporate tools and checklists that will keep the compliance function on track in 2018!

Recorded Thursday, February 8, 2018

Attendance certificate provided to self-report CE credits.


  • Maximizing electronic resources, including using the CFPB’s eRegulations tool
  • Monitoring approved policies and annual reporting requirements
  • Tips for creating an electronic filing system to eliminate the paper shuffle
  • Tracking internal and external exceptions to ensure resolution is obtained
  • Creating an efficient and thorough compliance report for management

    • Quick and easy form to document monitoring activities
    • Compliance website links
    • Sample daily, weekly, monthly, quarterly, and yearly compliance checklists
    • Compliance officer report template
    • Sample compliance review schedule and policy review checklist
    • Form to document training and a checklist to ensure annual training requirements are satisfied
    • Exception tracking log that is sortable by regulation or area of responsibility
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key


This informative session is designed for staff with compliance responsibilities, including compliance officers, risk management staff, and compliance auditors.


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.
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