Compliance

Dyck-O’Neal maintains nationally required licenses and is SSAE16 Type II compliant with quarterly reviews and annual audits. Our commitment to professional excellence is evidenced by our vigorous compliance program which includes comprehensive procedures for technology, physical premises, and personnel which

Our commitment to professional excellence is evidenced by our vigorous compliance program which includes comprehensive procedures for technology, physical premises, and personnel which are necessary to safeguard sensitive information and to protect our partners and borrowers. 

Dyck-O’Neal is routinely audited by our partners, Fortune 500 companies, banks, private investors and government sponsored enterprises. These audits include extensive questionnaires and on-site inspections.

Our employees undergo compliance training and education when they are hired, must attend ongoing training throughout the year and are recertified on an annual basis.

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