GLBA Readiness Checklist for Community & Regional Banks

A practical compliance checklist outlining the five control areas regulators evaluate during IT and cybersecurity exams.

Why This Matters

Banks are increasingly evaluated on documentation maturity, governance oversight, and evidence of testing — not just technical controls.

Even institutions with strong IT vendors may receive findings if oversight and risk management processes are not clearly documented.

This checklist outlines the five areas regulators typically review first.

What’s Included

✔ Governance & accountability review
✔ GLBA-aligned risk assessment framework
✔ Vendor & third-party risk documentation
✔ Access control & MFA validation
✔ Incident response & testing evidence checklist

Who This Is For 

• Community banks under $500M
• Banks preparing for exams
• Banks without structured security oversight
• Institutions reviewing documentation maturity