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Is your supervision strong enough to meet your licensing obligations and reduce your risk?

Answer 10 questions to find out where your broker supervision gaps are, and what to do about them. Takes less than five minutes. Results are immediate.

10 scored questions. Less than five minutes. Results shown immediately.

  1. 1 Answer 10 questionsLess than five minutes
  2. 2 Get your results immediately
  3. 3 See exactly where your gaps are

How structured your oversight is

Do you have a defined process for auditing broker loan files, or does it happen when you get around to it?

How independent your evidence is

Who is auditing your files, how are findings recorded and would that evidence hold up under scrutiny?

How complete your coverage is

Do your file audits cover needs assessments, financial verification, compliance documents, product suitability and record-keeping across your credit representatives?

Built for ACL holders, by an ACL holder.

This assessment is based on the supervision expectations in the NCCP Act and ASIC's regulatory guidance for credit licensees. It uses the same framework as Compliance IQ, Brokerology's independent file audit service.

Compliance IQ was built inside a real brokerage with 42+ brokers and has been independently reviewed.

The questions test your processes and systems, not your individual loan files.

Question 1 of 12

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