14 Must-Haves for Your Audit

SCP's Audit Checklist will ensure that your company is prepared should you receive notice.
Here are the 14 must-haves for your audit.

  • Compliance policies
  • Copies of all advertising and marketing materials
  • List of all websites and social media accounts
  • Lender Agreements
  • LO Comp Agreements
  • Report of annual compliance training
  • Complaint Log
  • Internal audit reports (aka results of testing and monitoring)
  • Sample disclosure package
  • BSA/AML Risk Assessment
  • BSA Officer Designation
  • BSA/AML Independent Review
  • QC Plan
  • State Specific Policies. IE Remote workers policy, Disaster Recovery, Business Continuity, Cyber Security, Supervisory Plan.

Don't want to go at it alone? SCP has you covered with Broker Audit Pro. 

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