Nelson Locke Compliance

What we do for you…

Here is what we do. First, we don’t provide an ala-carte service where you pick and choose. You probably don’t know what you actually need to be compliant. We are the experts.

We begin by providing a three manual set of policies that completely cover over 40 areas required by the regulations. Including TRID. Many policies that are on the CFPB Audit Checklist that you have never heard of.

Then by teleconference we review each policy with you. We then create the required governance documents for your entity and insure you sign them accepting your responsibilities.

We then set up video training for the areas required to be covered once a year – AML, BSA, GLB, FACTA. This training is in addition to your annual CE requirements and we certify to the regulators that you and your staff have taken the training and passed a test.

Finally, you will receive our weekly blog and all updates we create for your manuals. And access to our compliance hot line for quick answers to your questions.

And if you receive a routine audit letter during the year, we will assist you to prepare and respond at no additional charge.

Our engagement fee is $1950 and covers a full year of our services. It is a one- time fee. It can be paid via credit card.

After a year, if you like our services (and you will find them a terrific value) we continue as your compliance expert for a one-time renewal fee of $1200.

I am an attorney and have 24 years’ experience as a Mortgage Banker. That should speak for itself. Most of our competition does not have that combination of experience. They sell you books and walk away. We don’t do that.

Request our Engagement Package today and we can have you in really good shape within three weeks.

And you will feel much better about not having to face the regulators alone.

Compliance Services and Nelson A. Locke Esq. © 2015 (800) 656-4584


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