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Compliance Officer’s Year-End Checklist

Make your list, and check it twice. 

It’s time to make your year-end checklist as you work to meet your 2020 obligations and head into 2021 with confidence. Download our checklist to use as a guide to end the year strong.

2020 has been no ordinary year. Amidst a global pandemic, a changing geo-political environment, and increased regulatory scrutiny, firms have had to transform how they conduct business, oversee their compliance programs, and maintain operational resilience. Priorities and projects have shifted, technology adoption has increased, and outsourcing has been embraced as firms navigate turbulent markets, the extended work-from-home environment, and regulatory change.

Peter Driscoll, Director of the U.S. Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE), said during his remarks for the 10th National Compliance Outreach Program, “We cannot overstate a firm’s continued need to assess whether its compliance program has adequate resources to support its compliance function. Resources means a lot of different things, including training, automated systems and adequate staff to support firm growth, but perhaps most importantly, it means ‘empowerment.’ Compliance must be integral to an adviser’s business and part of its senior leadership.”

As you look ahead to 2021, use this checklist to help evaluate how to prioritize your year-end compliance tasks, allocate resources, and plan future initiatives.


If you have questions about these updates or would like more information about how ACA can help enhance or strengthen your compliance program in 2021, please reach out to your ACA consultant or contact us here.