Quality Control Audits

This policy and procedure guide provides clear guidance for quality control requirements associated with loan origination and servicing. It is designed to address the goals and expectations of quality control measures based on the type of loan as well as agency quality control requirements for both origination and servicing. This guide sets forth minimum standards and industry best practices for mortgage lenders and servicers to apply effective quality control to the loan origination and servicing processes.


The AllRegs® Quality Control Audits Policy and Procedure Guide assists financial institutions in complying with investors, secondary market entities and regulator quality control program requirements.

The Quality Control Audits Guide addresses the following topics:

  • Pre-Funding audits
  • Post-Closing audits
  • Non-Originated audits
  • Servicing audits
  • Subservicer audits
  • Third-Party quality control audit providers
  • Record retention


The guide features the following benefits:

  • Supports strong operational practices and preparedness
  • Explains roles and responsibilities
  • Explains what to expect and how to work with auditors
  • Provides practical guidance for managing the audit process from within
  • Features an audit tracking spreadsheet as an optional tool

Optional Services

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

Publishing: Publish your guide, including your company procedures, in AllRegs Online.

Contact your account manager for information regarding these optional services!

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