Real Estate Brokerage Compliance Audit Checklist [FREE PDF]
This real estate brokerage compliance audit checklist ensures brokerages comply with NAR Code of Ethics, state Department of Real Estate regulations, RESPA, and Fair Housing Act requirements. Managing brokers use this semi-annually to audit agent practices, transaction files, and trust account management.
- Industry: Professional Services
- Frequency: Semi-Annually
- Estimated Time: 30-45 minutes
- Role: Managing Broker / Compliance Officer
- Total Items: 8
- Compliance: NAR Code of Ethics and Standards of Practice, State Department of Real Estate regulations, RESPA (Real Estate Settlement Procedures Act, 12 USC 2601), Fair Housing Act (42 USC 3604)
Fair Housing & Advertising
Verify fair housing compliance in marketing and transactions.
- Equal Housing Opportunity logo displayed in all offices and advertising?
- No evidence of steering, blockbusting, or discriminatory marketing practices?
- All advertising reviewed for RESPA and Fair Housing compliance?
Transaction Files & Trust Accounts
Verify transaction documentation and trust account compliance.
- All transaction files complete with required disclosure forms?
- Earnest money deposited to trust within required timeframe?
- Trust account reconciled monthly?
- RESPA Section 8 anti-kickback compliance training current for all agents?
- Brokerage compliance notes
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Why Use This Real Estate Brokerage Compliance Audit Checklist [FREE PDF]?
This real estate brokerage compliance audit checklist [free pdf] helps professional services teams maintain compliance and operational excellence. Designed for managing broker / compliance officer professionals, this checklist covers 8 critical inspection points across 2 sections. Recommended frequency: semi-annually.
Ensures compliance with NAR Code of Ethics and Standards of Practice, State Department of Real Estate regulations, RESPA (Real Estate Settlement Procedures Act, 12 USC 2601), Fair Housing Act (42 USC 3604). Regulatory-aligned for audit readiness and inspection documentation.
Frequently Asked Questions
What does the Real Estate Brokerage Compliance Audit Checklist [FREE PDF] cover?
This checklist covers 8 inspection items across 2 sections: Fair Housing & Advertising, Transaction Files & Trust Accounts. It is designed for professional services operations and compliance.
How often should this checklist be completed?
This checklist should be completed semi-annually. Each completion takes approximately 30-45 minutes.
Who should use this Real Estate Brokerage Compliance Audit Checklist [FREE PDF]?
This checklist is designed for Managing Broker / Compliance Officer professionals in the professional services industry. It can be used for self-assessments, team audits, and regulatory compliance documentation.
Can I download this checklist as a PDF?
Yes, this checklist is available as a free PDF download. You can also use it digitally in the POPProbe mobile app for real-time data capture, photo documentation, and automatic reporting.