Our approach to compliance is collaborative. We work with you to develop and maintain your servicing compliance program. This joint effort ensures compliance with applicable laws and regulations related to mortgage servicing.

We will assist you in formulating compliance strategies, regulatory initiatives, and projects in coordination with management, legal, and business partners from the start of the engagement.


  • SUPPORT the mortgage servicing compliance staff to provide day-to-day compliance support, issue resolutions and serve as the primary resource for new initiatives and projects related to mortgage servicing laws and regulations.
  • TRACK legislative and regulatory developments that affect mortgage servicing. Identify emerging compliance trends and best practices related to mortgage servicing, industry trends, and changes in operating activities to ensure internal compliance controls are implemented where necessary and existing controls retain their effectiveness.
  • AUDITS & DUE DILIGECNE include servicing quality control, annual servicing reviews, quality assurance, internal audits, and risk appetite statements.
  • PREPARE SUMMARIES of legislative and regulatory changes and disseminate compliance bulletins to affected groups within the organization.
  • FORMS AND DISCLOSURES review and draft disclosure documents to comply with applicable laws and regulations and internal policies and procedures.
  • COMPLIANCE ADMINISTRATION support operations by utilizing servicing activity data, risk assessment findings, and other analytic analyses. We report findings and strategic recommendations to senior management, Board committees, the Board of Directors, internal and external auditors, and regulatory examiners, as appropriate.
  • POLICIES & PROCEDURES review and recommend, develop, and implement changes to existing and proposed procedures, policies, and programs.
  • DEVELOP and MAINTAIN effective and positive relationships with operational managers and stakeholders to facilitate a partnership approach to compliance risk management.
  • ENSURE CONTINUAL MAINTENANCE of effective compliance policies, procedures, and programs.
  • IDENTIFY, COMMUNICATE, and DEVELOP compliance education and awareness programs and assist with the delivery or development of compliance training.
  • PROVIDE COMPLIANCE TOOLS, including appropriate state and federal law matrices.
  • REGULATORY EXAMINATIONS, assist in coordinating, including facilitating information gathering, analysis, and synthesis of data into a logical and consistent format.
  • DEVELOP INTERNAL CONTROLS to mitigate compliance risks identified during risk assessment review processes.
  • ASSIST IN DOCUMENTING CORRECTIVE ACTIONS required due to deficiencies identified by reviews, audits, and regulatory examinations.
  • COORDINATE regularly with certain departments to ensure compliance alignment within the organization.
  • PARTICIPATE as required in management committees concerning regulatory compliance issues.