Mortgage lenders review regulatory compliance

Regulatory Compliance Review for Mortgage Lenders

Operationalizing compliance management, quality control and technology

Managing risk associated with mortgage lending, servicing, and financial services requires attention each day, every day, with a strategy to bring together diverse compliance management categories into one compliance platform.

If your current platform is built on policies and procedures, it is a good start, but it likely is not comprehensive enough to satisfy federal regulatory agencies and GSEs.

Baker Tilly’s mortgage compliance team brings together a compliance and readiness platform assessment that can identify the most critical points for mitigating exposure to risk and subsequently provide the guidance and plan to strengthen your business across the entire platform.

Baker Tilly’s regulatory compliance review assesses:

Compliance management

  • Programs, policies, training, monitoring, reporting, corrective action

Operational controls

  • Policies, procedures, quality control, board oversight

Technology management

  • Network security, external threat assessment, access to consumer information, continuity planning

Preparation and assessment practices from across the industry

Baker Tilly’s mortgage compliance team has built best practice assessments for its platform from other audits and exposure to interpretations from the CFPB. Your team benefits from exceptional insight and experience that will prepare you for your examination and balance your compliance platform.