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Complete Compliance Package

Small Company Compliance Package - Includes Non-Delegated QC for Brokers and Correspondents, All Regulatory Compliance Elements, and Information Security-Related Elements

Mortgage Broker & Non-Delegated Correspondent Licensing and Compliance Package

​Small brokers have to balance the current intense regulatory scrutiny of the industry with the fact that they are, generally, very small, closely held companies.  However, even though they are smaller, they still have to comply with all of the same laws as the mortgage lender.  To help the broker comply, we have assembled a Complete Package of materials that the broker will be required to provide. 

The distinction between broker and non-delegated correspondents lies in the duties required by your correspondent agreement. If you are truly non-delegated, then you should not have to conduct agency-level post-closing QC reviews. However, some investors do require this, which may require an upgrade to the Lender Compliance Package. 
Contents include:
  • Broker QC Plan (including pre-funding)
  • Red Flags - Fraud and FACTA
  • Anti-Money Laundering (BSA/AML) and SAR reporting
  • Information Security Plan - ID Theft - FACTA Red Flags
  • Privacy/Safeguarding
  • Loan Originator Compensation
  • Fair Lending
  • SAFE Act Policies
  • Predatory Lending Policies
  • Compliance Management
  • TRID - Truth-in-Lending and RESPA Integrated Disclosure
  • ​Vendor Management (Appraiser/Info Security)
  • Ability to Repay
  • Anti-Steering Policies (Loan Originator Comp)
  • Hiring Practices (Background checks)
  • Advertising Policies
  • Appraiser Independence Policies
  • Complaint Resolution
  • Disaster Recovery/Business Continuity
  • and anything else you need for regulatory or investor approval

Small Broker/Mini-Corr. Compliance Package Includes:

Broker Quality Control Plan
Compliance Manual
​Information Security and FACTA Red Flags​ Manual

and if anything else is required, we will provide it based on our 100% guarantee

Purchase Small Broker Compliance Pack

Broker Compliance Pack Price: $445.00
Click to provide your NAMB or State Association ID to receive a $100 off discount code
Product shipped via e-mail link. Please allow 5-15 minutes for delivery

Add-on State License or Audit Prep

Broker Audit Prep Add-on
Includes Cover Memo and Individual Policies in Named PDFs
Sold With Broker Package Only
Price: $500 per state State (add one state at a time):


The audit prep service allows you to specifically address an examiner's concerns by locating the exact policy reference and providing it, in the order requested, with a cover memo explaining how the policy meets the examiner's requirements. Allow 1 week for completion.

You must submit the state examiner's letter with the order here:

    Examination/Audit Prep Service Request

    Please provide the company name as it appears on the regulator letter.
    Max file size: 20MB
    Please provide a complete copy of the request. This information is held in strict confidence and will not be shared with outside parties.
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  • Home
    • Search our site
    • The CFPB and You
    • What Does a QC Plan Do?
    • Choosing the Right One
    • Request Discount Code
    • About Us >
      • About Us
      • FAQs
      • 100% Guarantee
      • Client List
    • Industry Blog
  • Single Policies
    • Single Policies
    • Free Sample Policies >
      • Free Sample Request Form
      • TIL-RESPA Integrated Disclosure (TRID)
      • HPML Appraisal Policy
      • Social Media
      • Ability to Repay
      • SAFE Act Policy
      • E-Sign Policy
      • Loan Originator Comp
      • Complaint Resolution
    • Disaster Recovery/Business Continuity Plan
    • Fair Lending/Fair Housing
    • Secondary Marketing-Loss Mitigation
    • Advertising
    • Anti-Money Laundering (AML/BSA/SAR) Plan
    • Appraiser Independence - Appraisal Management
    • Anti-Predatory Lending (UDAAP)
    • Vendor Management
    • Business Plan
    • MERS QA Plan
  • Modules
    • Module System
    • Mortgage Compliance Manual
    • Quality Control Options >
      • Quality Control Options
      • Lender Quality Control Plan >
        • HUD-FHA Quality Control Plan
      • Broker/Non-Del QC Plan
    • Information Security - FACTA/Red Flags & ID Theft >
      • IT/Cyber Audit
    • Origination/Production Module
    • Processing Module
    • Underwriting/Credit Policy
    • Closing/Funding/Warehouse
    • Mortgage Ops & Employee
    • Wholesale/Third Party Origination
    • Mortgage Servicing Module >
      • Mortgage Servicing
      • Mortgage Sub-Servicing
      • MERS Quality Assurance (QA)
  • Packages
    • Packages
    • Complete Mortgage Banker Package
    • Complete Correspondent Pack
    • Lender Compliance Pack
    • Broker-Non Del Compliance Pack
    • Processing Company Package
    • Anti-money laundering AML/BSA/SAR package >
      • Annual AML/BSA Audit
      • Annual AML Training
      • Free AML/BSA SAR Evaluation
    • Cyber/IT Security Audit Package
    • Advertising Audit Package
  • Services
    • Services
    • State Audit Prep >
      • State Audit Prep Package >
        • Pennsylvania Exam Preparation
        • Washington State Mortgage Lender Broker
        • New York License and Audit Prep
        • North Carolina Lender Broker
        • Ohio Mortgage Lender Broker
        • Texas Exam Preparation
      • Annual Audit Preparation
      • State Examination System (SES) Support
      • State Examination Packages >
        • Supervisory Plan
    • Training Services >
      • AML Training
      • Fair Lending Training
      • ID Theft Training FACTA
      • Cybersecurity Training GLB Safeguarding
      • Fraud Red Flag and QC Training
      • Privacy Act - GLB Training
      • Advertising Compliance Training
      • New Employee Training
    • Knowledge Base-FAQ >
      • Knowledge Base-FAQ
    • My Compliance VP - Manager >
      • My Compliance VP - Manager
      • Login Compliance Manager
      • Login Document Managment
      • Manage Subscription
    • Updates and Downloads >
      • Updates and Downloads
    • Warehouse Lender/Agency Approval >
      • Comergence Upload Service
    • Request Review
    • How to: Customization Services >
      • Customization Services
      • How to: Downloading Documents
      • How to: Customize Your Manual
      • Free "Generic" Customization Offer