Broker Quality Control Policy Manual

Whether you are originating conventional or government loans, most lenders are asking their Third Party Originators for Quality Control Plans. Implement yours today with the AllRegs Broker Quality Control Plan Policy Manual.


This policy has been revised to focus on facets of quality control specific to mortgage brokers.

This Broker Quality Control Plan covers the following topics:

  • Goals, Objectives, and Applicability
  • Accountability and Monitoring
  • Staff and Training
    • Broker Quality Control Plan, including
    • Mission statement
    • Plan development
    • TPO Activities
    • Regulatory Requirements
    • Types of QC Reviews
  • Relationships and Lenders
  • Loan Process Review
  • Results and Corrective Actions
  • Sample QC Checklists


The Broker Quality Control Policy Manual features the following benefits:

  • Supports strong operational preparedness
  • Establishes staff training requirements
  • Defines roles and responsibilities
  • Helps meet investor and internal compliance requirements

Optional Services

Maintenance: Receive regular and ongoing industry updates to keep your policy within regulatory requirements.

Publishing: Publish your manual, including your company procedures, in AllRegs Online to complete your policy manual solution.

Contact your account manager for information regarding these optional services!

Policy Manual
Broker Quality Control
Section Title Priority Action
1.1 Goals and Objectives Mandatory Review Include the point of view or culture of your organization in this section, if applicable.
1.2 Required Review Mandatory Review Be sure this accurately reflects your company’s annual policy review process.
2 Accountability and Monitoring Mandatory Review Modify this section to describe your compliance testing. QC testing must be independent of the quality control function to align with regulatory and agency guidance.
2.2 Board/Senior Management Oversight Mandatory Review Ensure this section accurately describes the responsibility for executive oversight in your organization.
3 Staff and Training Mandatory Review Include the means by which your organization provides and tracks required training.
4.1 Quality Control Mission Statement Mandatory Review Revise this section to include the point of view or culture of your organization regarding Quality Standards.
4.3 TPO Activities Optional Enhancement This section includes a listing of various activities of a TPO that may be monitored for quality control. This list should be customized to fit your business needs.
7.2 Report of Findings Recommended Best Practice Ensure this section adequately describes the reporting in place in your organization, including the frequency of periodic reporting.
8 Sample Quality Control Checklist for Originated Loan Recommended Best Practice Review and expand the QC checklists if applicable.