Annual MLO Requirements & SAFE Act Compliance

October 18, 2023
Live Webinar:
DateOct 18, 2023Duration90 minutes
12:00 PM PDT01:00 PM MDT
02:00 PM CDT03:00 PM EDT
  • Unlimited connections for your institution
  • Available on desktop, mobile & tablet
  • Take-away toolkit
  • Presenter’s contact info for questions
On-Demand Webinar:
  • Unlimited & shareable access starting two business days after live stream
  • Available on desktop, mobile & tablet devices 24/7
  • Take-away toolkit
  • Ability to download webinar video
  • Presenter's contact info for questions
See Registration Options

When is your next annual independent audit?

Are your MLOs properly registered? Are you in compliance with the SAFE Act? Is MLO compensation within the guidelines? Register for this webinar to get the answers to your MLO questions, receive expert insight, and garner multiple take-away tools.
  • Know which employees must be registered, which meet the definition of mortgage loan originator (MLO), and which are exempt
  • Verify the steps in the initial and subsequent registration process, including proper use of forms, criminal background checks, fingerprinting, and submission of MLO registrations
  • Confirm the required policies and procedures and compensation rules
  • Complete nine required steps for the annual audit
  • Understand the periodic training requirements which are commensurate with an MLO’s day-to-day origination responsibilities
  • Review the scope of federal regulations for MLOs


What does it mean to be a mortgage loan originator today? There are mandated requirements for registration procedures and to perform an annual independent audit. This webinar will address these rules, cover the SAFE Act requirements, provide an overview of the loan originator compensation rules, and offer nine steps for the SAFE Act audit. A concise summary of federal regulations that apply to mortgage lending will augment the overall MLO training requirements covered.


This informative session is designed for internal auditors, SAFE Act administrators, compliance officers, mortgage loan managers, and MLOs.


  • SAFE Act FAQs issued by the CFPB
  • Links to exam procedures
  • SAFE Act compliance checklist
  • Template for a SAFE Act audit
  • Employee training log
  • Interactive quiz
  • PDF of slides and speaker’s contact info for follow-up questions
  • Attendance certificate provided to self-report CE credits

NOTE: All materials are subject to copyright. Transmission, retransmission, or republishing of any webinar to other institutions or those not employed by your institution is prohibited. Print materials may be copied for eligible participants only.

Presented By

Susan CostonisSusan Costonis
Compliance Training & Consulting for Financial Institutions

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