Risk Assessment Report

Date: March 13, 2023

Auditor: Rio Smith

To: Compliance Manager

RE: Risk Assessment

Report Time: 10:00
Location: Mortgage Choice

Observation from Auditing:

1. Poor Attitude and incompetence Office Staff

2. Lack of Information and Understanding of Product and Services
3. Mistake through Loan Application Proposal
4. Poor Communication
5. Officer did not keep in touch with the customer
6. Officer did not fulfil his responsibility on completing the customer application
7. Repetition on unnecessary processes
8. Poor Customer Service and Unprofessional Staff
9. Inconsistency

Recommendation:
1. Conduct Staff Performance Review
2. Provide Product and Services Training
3. Provide support on handling difficult cases.
4. Provide Communication Training
5. Supervision by Senior Staff

Report by,

Buena Lynne Cataquis