Customized Compliance Services

It’s not a matter of IF, but WHEN you will be audited!

 

 

 

Customized Compliance Services

 

Our service provides you with the tools needed to be in compliance. 

 

· New Office Set-Up Consultation

· Calyx Compliance Installation

· Pre-Audit Compliance Examination

· Audit Preparation

· Post Audit Resolution

· Ongoing Loan File Quality Control

 

PRE-AUDIT

 

Our PRE-AUDIT SERVICE is essential to your business.  A mock, compliance audit will give you, the mortgage broker, the opportunity to have loan files and office set-up evaluated by us before the Savings and Mortgage Lending Department auditor appears at your doorstep.  This service is also useful for brokers who have had a satisfactory audit, but want to improve on their level of quality. 

 

REGULAR COMPLIANCE CHECK-UPS are strongly encouraged as part of the ongoing preventative maintenance plan for all brokers!  Our service will help you implement the changes needed to correct your actions before it’s too late. 

 

Audit Preparation

 

Need help getting ready for the audit?  Our AUDIT PREPARATION service will provide you with a check of your files, office set-up, the items you need to have displayed, and an opportunity to find out how you will do in the pending audit. 

 

We can also help you correct some issues to put you on the right path.  This has been a very successful service for many brokers who would have done very poorly in an Audit, but our consultation turned the brokers on the right path which provided the broker with a higher score.

 

POST-AUDIT

 

Our POST-AUDIT RESOLUTION SERVICE is for brokers that have been recently audited and received a rating of 4 or 5.  Brokers in this category MUST take IMMEDIATE action to address the issues or risk suspension or revocation of their license.  This is a SERIOUS SITUATION and should not be treated lightly.

 

The SML wants to see that you have given serious commitment to compliance and corrective actions.  We will meet with you immediately and work with you to prepare your state mandated written response. 

 

For dual license holders, brokers who receive a less than satisfactory rating are at even HIGHER RISK because the other licensing entities will be informed that your mortgage license has been revoked.  This puts your other licenses in serious JEOPARDY!

 

REGULAR COMPLIANCE CHECK-UPS are required, in many cases, for brokers who receive a 4 or 5 rating to meet the state mandate of having “close supervisory attention and monitoring.” 

 

 

It is imperative that you and your company maintain the highest level of compliance and efficiency, and to keep up with the many changes that occur regularly. 

 

(214) 718-5872

Don’t wait until you get a phone call from a Texas Savings & Mortgage Lending Department auditor to start getting your books and records ready for an audit. 

 

You will be audited whether you are ready or not!!!!

 

As brokers leave the industry, the SMLD has more time and will get to your office quicker! 

 

DON'T DELAY!

Protect your license and livelihood! 

Call Rachel McNamara TODAY!

 

(214) 718-5872

Rachel McNamara

Consultant

Rachel@AllianceAcademy.org