COVID-19 Operational Risk Assessment and Mitigation - Part 1
For smaller mortgage and consumer lending entities. Completing this assessment will provide a report that can be submitted to regulators as to your actions related to Novel Coronavirus (COVID-19).

Generally, when preparing this report, you will be required to collect and submit data. Some data involves separate questionnaires or checklists which you must complete. ALL EXHIBITS must be provided in graphic format.

Since all responses to this assessment must be provided in graphic format, PLEASE ensure that you have some sort of screen capture or image printing software. You can capture images using simple desktop components like "prt sc" the print screen button on most keyboards, and pasting the image to the "paint" utility to crop or redact confidential information.
Email address *
Company Name
Provide the Company's legal name. This will be the name that appears in your report.
Compliance Manager Name
Preventative Measures: Virtual Workplace
According to the US Department of Labor, during an epidemic the primary defense for any firm involves avoiding group contact of any sort. We facilitate this through our ability to work remotely and our policies encourage remote work.
Vendor Risk Management
IT Theft Increased Risk from Employees working at home
Workplace Preventative Measures
Servicing and Payment Collection
Critical Employees
Name of Critical Employees - Complete short answer text as follows:
1- Compliance (Name) 2 - Sales (Name) 3 - Processing/Underwriting Closing (Name) 4 - Secondary Marketing (Name) 5 - IT (Name)
Regulatory Compliance - We have evaluated and met the demands of all licensing authorities with respect to COVID-19
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