Developed by the first, full service, mortgage management firm!

Cost Effective!

One fee covers the following:
  • Questionnaires and Checklists
    • Requisite department and function elements to meet regulatory scrutiny
  • Subject Matter Experts
    • Our Subject Matter Experts are your engagement team!
  • Executive Summary
    • Report provides outline, findings, recommendations
  • Risk Rating
    • Based on Uniform Interagency Consumer Compliance Rating System
A Compliance Management System should reflect the size, complexity, and risk profile of the financial institution.

Summary Report and Risk Rating

Determine the level of compliance implementation
of your Compliance Management System!

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A Compliance Management System is how an institution:
  • learns about its compliance responsibilities;
  • ensures that employees understand these responsibilities;
  • ensures that requirements are incorporated into business processes;
  • reviews operations to ensure responsibilities are carried out and requirements are met; and,
  • takes corrective action and updates materials as necessary.
An effective Compliance Management System is commonly comprised of three interdependent elements:

1. Board and/or Management Oversight
2. Compliance Program
3. Compliance Audit

When all elements are strong and working together, an institution will be successful at managing its compliance responsibilities and risks now and in the future.