Broker Audit Pro

Are you a broker owner who received an audit letter from the state?
We can help.

Comprehensive Support

SCP’s Broker Audit Pro provides mortgage brokers with support and guidance through the auditing process. With Broker Audit Pro, you will have a dedicated Compliance Consultant to advise you in responding to the examiner.

Evaluate

To determine if the exam is limited, full scope, or targeted

Respond

Will assist in determining what is required in your response

Resolve

Your consultant will assist with developing correction plans

Maintain

With SCP’s Compliance Essentials, we continue to keep your company compliant

8 Steps to Prepare for an Audit

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Broker Audit Pro

Get support every step of the way

Audit/Examination Assistance
Initial Assessment
Review of Examination Requests and Recommendations
Review, Preparation and Submission

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Not currently going through an Audit? We can still help!

Learn more about how Compliance Essentials can keep your Brokerage audit-ready!

Let's Discuss Audit Preparedness

“This may be your first exam, but we do these hundreds of times a year. Let the experts help you.”

Scott Geisel, Managing Director, SCP

Get the support you need with Broker Audit Pro

Audit / Examination Assistance

SCP will help get you prepared for your upcoming audit/examination by reviewing, preparing, and creating the necessary policies as well as assist with responses when needed.

Initial Assessment

Your dedicated Compliance Consultant will perform an initial assessment to review the examination questionnaire, requested items list, and your company’s current compliance management structure.

Review of Examination Requests and Recommendations

Following the initial review, your consultant will advise you on managements responsibilities, establish a timeline for responses and deliverables, and provide recommendations to enhance your compliance management system.

Review, Preparation and Submission

Lastly, SCP will assist in reviewing and developing the requested examination items. In addition, the SCP support team will check in regularly with the Company liaison to ensure the review, preparation and submission are handled smoothly.

Broker Audit Pro

One-time fee of $1,995

Please note, Broker Audit Pro is exclusive to Compliance Essentials Members. If you are not a member, you can sign up for as low as $199/mo!

Get Started

Broker Audit Pro

Are you a broker owner who received an audit letter from the state?
We can help.