To adequately perform their role, a CCO needs to remain steadfastly focused on compliance issues and risks faced by their firm throughout the year. It is important, however, to differentiate between the daily compliance risks that CCOs need to monitor and the broader, more holistic ones that also require attention. Whether it is related to, among others, managing employment arrangements or service providers, the year-end (EOY) is an excellent time for CCOs to use EOY compliance checklists to ensure those matters do not slip through the proverbial cracks and become a problem in the new year. This second article in a two-part series offers tips about items to include in an EOY compliance checklist relating to personnel, regulatory developments, third parties and budgets, as well as ways to prepare for the first quarter of the new year. The first article highlighted why it is important for CCOs to use EOY compliance checklists; approaches CCOs can take to compile their checklists and calendars; and some of the documents, policies, procedures and filing requirements to address during an EOY review. See “2024 Survey Reveals Top Compliance Concerns and Common Industry Practices” (Sep. 19, 2024).