Mortgage Policies and Procedures Manuals
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Broker Compliance Management System Package Manuals

Broker/Non-Delegated Quality Control
Compliance Management System
Information and Cybersecurity

Mortgage Broker and/or Non-Delegated Correspondent Compliance Management System Policies and Procedures Manuals

Investor Approval Policies and Procedures

Investors typically request copies of policies and procedures, or require a certification that policies and procedures exist, that show that their counter parties have the minimum policies and procedures that ensure an understanding and structure for compliance.  These are normally requested at the time of application, then annually at the time of renewal. The complete Broker/Non-Delegated Correspondent Compliance Management Package of Policies and Procedures Manuals provides all these materials.

Regulator and State Agency Policies and Procedures

State Regulators request certain policies and procedures to meet their oversight responsibilities. Depending on the state and the legacy of interaction, the regulator may have a minimal set of requirements, or the request may be expansive and broad. These documents may be requested at the time of application, or later during the periodic exam process, which occurs every 1-3 years.  The complete Mortgage Broker/Non-Delegated Correspondent Compliance Management System (CMS) of Policies and Procedures Manuals contains all of these materials and more. 

The Difference Between Mortgage Brokers/Non-Delegated Correspondents and Bankers/Lenders

We have stripped the lender functions from the Mortgage Broker/Non-Delegated Correspondent Package. Still, even though they tend to be smaller companies, they still have to comply with all of the same laws and rules as the mortgage lender.  To help the broker/non-delegated correspondent comply, this Complete Compliance Management System Policies and Procedures Package of materials contains every element necessary for today's mortgage industry. 

Contents include:
  • Broker QC Plan (including pre-funding)
  • Red Flags - Fraud and FACTA
  • Anti-Money Laundering (BSA/AML) and SAR reporting
  • Information Security Plan - ID Theft - FACTA Red Flags
  • Privacy/Safeguarding
  • Loan Originator Compensation
  • Fair Lending
  • SAFE Act Policies
  • Predatory Lending Policies
  • Compliance Management
  • TRID - Truth-in-Lending and RESPA Integrated Disclosure
  • ​Vendor Management (Appraiser/Info Security)
  • Ability to Repay
  • Anti-Steering Policies (Loan Originator Comp)
  • Hiring Practices (Background checks)
  • Advertising Policies
  • Appraiser Independence Policies
  • Complaint Resolution
  • Disaster Recovery/Business Continuity
  • and anything else you need for regulatory or investor approval 

100% Guaranteed to Comply

Purchase the Broker Non-Delegated Correspondent Complete Compliance Management System Policies and Procedures Manuals

$495
Documents delivered electronically in 100% editable Word/MS Office format - allow 5-15 minutes for delivery via e-mail
Referrals from State Association or Compliance Partners eligible for discount code - request one here

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All material copyright 2006-2025 QuickStart Mortgage Manuals
  • Home
    • What Regulators Require
    • The CFPB and You
    • Why do I need Quality Control?
    • What is a Module?
    • What is a Template?
    • Get Free Update Notifications
    • About Us >
      • FAQs
      • Industry Blog
      • Mortgage Resources
      • Client List
      • Discount Codes
      • Free Sample Request Form
  • Policy/Procedure Manuals
    • Single Policies >
      • TRID-Integrated Disclosure Policy
      • Social Media Policy and Procedure
      • Vendor Management Policies and Procedures
      • MERS Quality Assurance (QA)
      • Ability to Repay Policy
      • Anti-Money Laundering/SAR Reporting
      • Fair Lending Plan
      • E-Sign Policy
      • FACTA/Information Security
      • Mortgage Compliance Policies
      • SAFE Act Policy Manual
      • Secondary Marketing Manual
      • Appraiser Independence Manual
      • HPML Appraisal Policy
      • Mortgage Business Plan
    • Quality Control Plan - Agency/Investor
    • Quality Control - Broker/Non-Delegated Corr
    • Mortgage Compliance Manual
    • Origination-Production Manual
    • Processing Policy and Procedure Manual
    • Underwriting Procedures/Credit Policy
    • Closing, Funding and Delivery
    • Mortgage Operations & Employee Manuals
    • Servicing Procedures
    • Sub-Servicing Management Manual
    • Wholesale/Broker TPO Manual
  • Complete Packages
    • Mortgage Banker/Lender Package
    • Correspondent/Broker Package
    • Compliance Pack for Lenders
    • Broker Compliance Package
    • Wholesale (TPO) Package
  • Services
    • Updates and Downloads
    • Agency Approval Services
    • Training Program Development >
      • Intranet Development
    • Audit Support >
      • New York State Audit
      • Pennsylvania State Audit
      • Nevada Audit Preparation
    • QC Audit Quote Request
    • Free Customization Offer >
      • Let Us Customize Your Product
    • Access Document Management