Compliance Services

Get the support you need to be audit-ready
Compliance Services

Solutions for Every Brokerage

Compliance Essentials

Great for brokers just starting out or in one state. This provides all the must-haves for federal and state compliance

NDC Compliance

Non-Delegated Correspondents (NDC) requires a higher level of support and additional policies

Compliance Premium

Take the hassle out of renewals and NMLS reports with this upgrade from our Essentials program

Compliance Outsource

This program combines Compliance Premium with Business Management services, giving you everything you need for compliance, plus the support to implement it!

Processor? 

Compliance Essentials

Starting at $249/month

The basics you need for your compliance program

Compliance Premium

Starting at $349/month

Everything in Essentials, plus time saving support on tasks like:

Compliance Outsource

Starting at $1375/month

Everything in Premium, plus a dedicated business success manager:

Compliance Essentials for NDC

Starting at $299/month

The basics you need for your compliance program.

Compliance Premium for NDC

Starting at $299/month

The basics you need for your compliance program.

Compliance for Processors

Starting at $149/month

The Essential policies and courses for processirs nationwide

Compliance Services

Pricing

Compliance Essentials

$299  Set Up Fee
$ 249 /mo
  • Policies
  • Courses
  • Support Hours

Compliance Premium

$299  Set Up Fee
$ 349 /mo
  • NMLS Renewal support
  • Quarterly MCR and Annual Financial Condition
  • NMLS LO and Company Updates

Compliance Outsource

$299  Set Up Fee
$ 1375 /mo
  • 5 hours per month with a dedicated business manager
  • 10 hours of compliance support annually
  • Mock audit and AML review performed annually

Compliance for NDC

$299  Set Up Fee
$ 349 /mo
  • Non-Delegated Correspondent Policies
  • Required Courses
  • Support Hours

Get A Free Consultation

Not sure what you need or where your brokerage is vulnerable? Contact us today for a free evaluation of your compliance situation.

FAQs

This depends on two factors – how quickly the application documents can be obtained and provided to us and the speed/ requirements of the state you are applying in. Contact us today for a timeline for YOUR application

You could look on the state website and research the requirements for each license or you could contact SCP for a free licensing consultation

We will keep you informed at every step of the way, etc.

You must notify officials from each state you do business in of any changes and within the proper deadline

All 50 states and US territories

About Ari Karen

Ari Karen is an experienced litigator who has focused his practice in representing financial institutions in both government investigations and litigation before state and federal trial and appellate courts nationwide. Mr. Karen’s practice is diverse, representing clients on matters concerning banking regulations, Dodd Frank financial reform laws, contractual disputes, employment and labor statutes, wage-hour class actions, employment discrimination and fair lending matters, whistleblower complaints and non-competition claims, among others.

Mr. Karen speaks regularly on topics affecting all types of lenders including fair lending and disparate impact, LO compensation, marketing service agreements, compliance with social media, non QM lending, vendor management, and much more. Mr. Karen is a principal in the Financial Institutions Regulatory and Labor and Employment practice groups of the Offit Kurman law firm.