GAP Analysis – Mortgage Broker

All firms are required to carry out an annual review of their current systems and establish where there may be ‘gaps’ between how it should be treating customers fairly and what is happening in practice.

This GAP Analysis is designed to prompt you on the key areas which firms should focus on to satisfy that they are treating customers fairly.  Whilst it is designed for Mortgage Brokers, Equity Release Brokers should be utilise it in their practice. Format: Word Document.

FORMAT: All documents are downloadable via email upon receipt of payment.

Written & reviewed by the Ecompli founder — With over 20 years in financial services and having founded Ecompli in 2006, our compliance documents are written by a specialist with hands-on expertise in FCA regulation across the mortgage, general insurance, equity release, and insurance claims handling sectors. Every guide and template is personally developed to turn complex regulatory requirements into clear, practical tools your firm can actually use.

There are plenty of free templates and AI-generated documents available online. The challenge is knowing whether they genuinely reflect FCA requirements, align with Consumer Duty expectations and work in practice for your firm. Our documents are written by Ecompli’s founder and are designed specifically for regulated firms. Every manual, register and template is created to provide practical, usable guidance that supports implementation,  helping firms move beyond theory and into demonstrable compliance.