Lending Compliance Checklists

Up-to-Date Banking Checklists Developed By Experts

Checklists and worksheets are multi-functional. Both are provided in modifiable formats to be made unique to each specific users policies, but include step-by-step processes to take the user through all the required documentation for each banking process as well as step-by-step procedures to complete any in-house audit or monitoring project. These checklists and worksheets will ensure the financial institution has implemented consistent processes across branch lines, and has complete documentation of those processes.

Last Updated Tool Name
08/31/2022 Loan File Audit Checklist
08/30/2022 RESPA Collection Audit Checklist
08/30/2022 Adverse Action Audit Checklist
08/22/2022 Balloon Qualified Mortgage Checklist Small Creditor
12/28/2021 Regulation B Audit Worksheet
12/14/2021 Servicemembers Civil Relief Act (SCRA) Audit Worksheet
11/12/2021 Homeowners Protection Act Checklist
11/10/2021 Real Estate Checklist for Non HMDA Banks
11/05/2021 Fair Lending Analysis Worksheet
07/08/2021 CARES Act Foreclosure Audit Worksheet
07/06/2021 General Qualified Mortgage Checklist
12/28/2020 Mortgage Servicing Rules Early Intervention Audit Checklist
11/06/2020 Commercial Lease Testing Matrix
11/06/2020 Commercial Lease Audit Workpaper
11/06/2020 Escrow Account Audit Workpaper
08/31/2020 Consumer Credit Report Alert Tracking Worksheet
08/29/2020 SAFE Act Audit Workpapers
08/28/2020 Audit Checklist for Delinquent Borrowers or Delinquent Borrowers in Bankruptcy
08/26/2020 Other Real Estate Owned Audit Worksheet
11/15/2019 Appraisal Review Checklist
11/07/2019 Balloon Qualified Mortgage (QM) Checklist Rural and Underserved Creditor
10/29/2019 Internal Audit Schedule
10/10/2019 Successor In Interest Audit Checklist
10/09/2019 Environmental Questionnaire Sample Worksheet
10/30/2018 Partial Exemption HMDA Data Collection Worksheet
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