Broker Audit
Full GAAS-compliant audits for mortgage brokerages. Specialist expertise for NMLS-licensed lenders and warehouse partners.
Precision in
Compliance
In the increasingly scrutinized landscape of mortgage finance, Guidepost provides rigorous, GAAS-compliant financial statement audits specifically tailored for mortgage brokerages. Our methodology addresses the unique complexities of the industry, ensuring your firm meets all state regulatory mandates and federal oversight requirements.
Our specialized team understands the critical nature of warehouse lender requirements. We focus on providing the transparent, high-fidelity reporting necessary to maintain and expand your funding lines. By leveraging deep institutional knowledge of NMLS-licensed lenders, we transform the audit from a regulatory burden into a strategic asset.
The Guidepost commitment extends to the technical execution of NMLS renewal filings. We ensure that your audited financial statements are structured to pass regulatory review without friction, mitigating the risk of licensing delays or administrative findings.
Accelerated Timeline
Our streamlined engagement model guarantees a 3-4 week turnaround from fieldwork commencement to final issuance.
Audit Deliverables
Comprehensive verification services engineered for institutional lenders and regulatory bodies.
GAAS Financial Statements
Complete audit of balance sheets, income statements, and cash flows in accordance with Generally Accepted Auditing Standards.
- check_circleOpinion on Fair Presentation
- check_circleFootnote Disclosures & Risk Assessment
Trust & Escrow
Rigorous verification of trust account handling and escrow fund management to ensure zero-variance compliance.
Liquidity Compliance
Continuous monitoring of net worth requirements and liquidity ratios mandated by warehouse partners.
NMLS Filing Assistance
Technical support for the secure upload and verification of financial statements through the NMLS portal.
The 21-Day Audit Cycle
Intake
Secure document collection and initial risk assessment via the Guidepost Portal.
Fieldwork
Substantive testing of transactions and account reconciliations by our audit senior.
Draft Review
Collaborative review of draft findings and financial presentation with brokerage leadership.
Final Issuance
Release of the formal Audit Opinion and preparation for NMLS submission.