The Bank Compliance Check Up Monitoring Program for Community Banks

Compliance monitoring has never been so stress-free. Simply select the desired Checklist, complete by answering Yes, No, N/A, add comments as applicable, and print the report.   Use Bank Compliance Check Up to:

  • Determine how well your compliance program is meeting requirements
  • Determine the effectiveness of training
  • Evaluate the strengths of your compliance program
  • Save time in creating reports for your Board and Management Latest Checklists added:
  • Tech related – red flags and service providers
  • Quality mortgage rules affecting Regulation Z, Real Estate Settlement Procedures Act (RESPA), Regulation B and appraisals

  The program features:

  • Expanded section for notes and comments
  • A Summary Report including Yes to No response ratio
  • Tallies the Yes, No, and N/A responses 

A growing portfolio of 75+ checklists for:

  • Deposit, Lending, Administrative, and IT/Tech/Security regulations

  New checklists are added as regulations and guidance change. Enhancements to the Compliance Check Up program include:

  • Much faster load times
  • Easier method for responding to questions – Saves time and effort
  • Ability to save and return to resume a Checklist at a later time

Format: Subscription

Use the Bank Compliance Check Up program to save time and take the guesswork out of compliance monitoring. This program requires Microsoft Office™, version 2010 or newer. (The program has been tested on Office 2007 SP3 and is fully functional, but as the product support lifecycle from Microsoft has expired, we no longer support Office 2007 installations.)

Ongoing monitoring is critical for your compliance program to be successful. The program will help you:

  • Determine if your compliance program is meeting requirements
  • Decide if your training is effective
  • Highlight strengths and spot weaknesses

Simply select the desired checklist, complete by answering Yes, No, N/A, add comments as applicable, and print the report. The report tells you which areas may need a follow up. Use the report to demonstrate to your Board and Management the effectiveness of your compliance program.

Click here for a Compliance Check Up Sample Report

The current release of the Compliance Check Up includes the following checklists:



  • Right to Financial Privacy
  • Garnishment of Accounts
  • Lobby Notice
  • Regulation P Privacy
  • Bank Knowledge



  • Bank Secrecy Act Monetary Instruments
  • Bank Secrecy Act (CIP): 1020.220
  • Bank Secrecy Act: General 31 CFR 1000-1099
  • Regulation D
  • Regulation E Consumer Liability: 1005.6
  • Regulation E Initial Disclosures: 1005.7
  • Regulation E Change in Terms: 1005.8
  • Regulation E Receipts & Periodic: 1005.9
  • Regulation E Error Resolution: 1005.11
  • Regulation E ATM Disclosures: 1005.16
  • Regulation E Overdraft Services: 1005.17
  • Regulation E Payroll Card Accounts: 1005.18
  • Regulation E Gift Card Requirements: 1005.20
  • Regulation DD – Disclosure Requirements: 1030.3
  • Regulation DD – Account Opening Requirements: 1030.4
  • Regulation DD – Subsequent Disclosures: 1030.5
  • Regulation DD – Periodic Statement: 1030.6
  • Regulation DD – Payment of Interest: 1030.7
  • Regulation DD – Overdraft Payment Disclosure: 1030.11
  • Regulation CC: Subpart B
  • Regulation CC: Subpart C – Collection of Checks
  • Regulation CC: Disclosure Requirements



  • Appraiser Selection
  • Fair Housing Application Items
  • Fair Debt Collection
  • Flood Disaster Protection
  • Fair Lending
  • Home Mortgage Disclosure Act (HMDA)
  • Real Estate Settlement Protection Act: Section 1024
  • Registration of Mortgage Lenders
  • Regulation AA
  • Servicemember Civil Relief
  • Fair Credit Reporting: Section 660
  • Fair Credit Reporting: Part 660 Frivolous or Irrelevant Dispute
  • FCRA Risk Based Pricing
  • Regulation Z: General Disclosures 1026.5
  • Regulation Z 1026.9
  • Regulation Z: Right of Rescission Open End 1026.15
  • Regulation Z: General Disclosure Requirements Closed End 1026.17
  • Regulation Z: Content of Disclosures 1026.18
  • Regulation Z: Certain Residential Mortgage and Variable Rate Transactions 1026.19
  • Regulation Z: Right of Rescission Closed End 1026.23
  • Regulation Z: Mortgage Transfer Disclosures 1026.39
  • Regulation Z: Valuation Independence 1026.42
  • Regulation Z: Sections 1026.52 and 1026.59
  • Regulation B: Applications and Prohibited Bases
  • Regulation B: Notification 1002.9
  • Regulation B: Monitoring Information 1002.13

IT / Tech / Security

IT / Tech / Security

  • Bank Protection
  • Children’s Online Privacy Protection Act (COPPA)
  • Safeguarding Customer Information
  • Website Review

Bank Compliance Checkup Program

The Bank Compliance Checkup Program provides a comprehensive system for on-going monitoring of your bank’s compliance with Deposit, Lending, Administrative and IT/Tech/Security regulations.

Your subscription to includes:

  • Ready-made, checklists you download in Excel to help you determine if your compliance program is meeting regulatory requirements and providing adequate training.
  • Training and testing that corresponds with the checklists and aids in addressing any weaknesses or deficiencies in your compliance program.
  • A calendar to assist you with staying up-to-date on final rules and deadlines and to establish a routine compliance monitoring schedule.
  • Up-to-date Regulations & Agency Resources for easy reference.

Bank Compliance Check Up requires Microsoft Office™ version 2010 or newer.

For more information contact Community Banker University® at (800) 422-7285 or visit


Annual Subscription Fee

ICBA Members:


Renewal Fee

ICBA Members: