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Mortgage Compliance Management System

Compliance Manager Duties
Checklists for Reviewing and Approving Compliance
Federal Regulations Policies

Mortgage Compliance Management System

Included in the Compliance Package, the Complete Mortgage Banker Package and the Complete Correspondent Package
Other "compliance manuals" simply list requirements for complying; just a reiteration of rules and regs. Our Compliance Manual is part of a complete compliance management system. We treat this as a job description for a compliance manager: What do I have to do on a daily, weekly, monthly, quarterly, semi-annual or annual basis? In addition, you receive the high-level compliance policies that accompany most other manuals, but you also receive the checklists, PowerPoint presentations, Excel spreadsheets and other tools to execute the function.

General Compliance Elements
  • SAFE Act Licensing Compliance Plan
  • Hiring Plan/Screening
  • Dodd/Frank Compensation Plan
  • Anti Steering
  • Appraiser Independence
  • Fair Lending
  • UDAAP (Unfair and Deceptive Acts and Practices)

Federal Regulatory Compliance Guidelines
  • TRID
  • RESPA
  • Truth-in-Lending / MDIA
  • Fair Lending
  • Equal Credit Opportunity (Reg B)
  • Privacy
  • Gramm/Leach/Bliley
  • Fair Credit Reporting
  • FACTA
  • HMDA

Also Included 
  • Advertising
  • Disaster Recovery
  • Social Media Policies and Procedures
  • Complaint Resolution Plan
Compliance Module Sample and Table of Contents
File Size: 74 kb
File Type: pdf
Download File

Purchase Downloadable Compliance Manual

Price - $445
Request Discount code for affiliate or association referral

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Contact Us

1 Research Court, Suite 450
Rockville, MD  20850
(877) 918-7246 toll free (877) 91 TRAIN
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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