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.


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


Will assist in determining what is required in your response


Your consultant will assist with developing correction plans


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

8 Steps to Prepare for an Audit

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

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!

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