Mortgage Broker & Non-Delegated Correspondent Licensing and 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

Broker/Non-Del Compliance Package Includes:

Click on the link to view the contents of each document

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

The package is designed to be complete, but if any elements required for a state examination are not included in this standard package (such as advanced requirements for full-scope examinations), we will provide or craft a solution.

Purchase Small Broker Compliance Pack

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

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: