Compliance on Demand
Introduction
ComplianceKeeper is a web-based Licensing and Learning Management System (LLMS), that allows users to manage all Company, Branch and Officer compliance end education license data.
ComplianceKeeper has developed a single source database toll to help manage the everincreasing regulatory and education requirements nationwide. Through our interactive compliance platform, ComplianceKeeper has developed a proprietary tracking and automated triggering system (ATS) that allows mortgage companies of any size to use a single source database to maintain regulatory compliance throughout the United States.
Features
Automatic e-mail triggering system (ATS) to notify Branches and Officers of upcoming license and education renewal deadlines.
Track all levels of the mortgage license and education compliance Process.
Organize and create a single source company database online – no more working with spreadsheets that require too much of your time to maintain and track.
Easily upload your existing data base using our provided CSV template.
Securely access your data anywhere anytime.
Multiple levels of data access for your Company v.s. Branch administrators.
Searching your ComplianceKeeper database is fast and easy – ComplianceKeeper offers extensive filtering tools to search your data base and create custom reports.
Broadcast e-mails with attachments to filtered lists that you create.
Flexible pricing structure – one of five levels will certainly meet your company‘s needs.
Security Features
ComplianceKeeper is hosted on a server protected by dual Cisco PIX firewalls, communication with users is through a 128 bit encrypted SSL connection. Administrative access is password protected and SSL encrypted
Multiple Access Levels
Corporate Administrator
Priority password access to all areas of the site
Branch Administrator
Password access will grant access to only those areas relating to
their specific branch
Home Page
Personalized
Event Calendar
Document tracking
Education alerts
Active licenses
Pending Licenses
Renewal alerts
Menu banner
Tracking Features
Comprehensive tool capable of
monitoring each aspect of the licensing and education process including:
License Renewal Alerts
License Pending
Active Licenses
Education Renewal Alerts
Event Calendar
Document Tracking
Company Profile
Branch Profile
Triggering Features
Interactive desktop screen allows instant access to the status of expiring licenses and education completion dates
License renewal alerts
Education renewal alerts
Triggering Featurescontinued
License renewal alerts
Alerts provided for three ranges 90, 60 and 30 days
Itemized total of licenses in each range
New License entering range
“VIEW LIST” button for expanded detail about each expiring license
Search function for locating individual licenses
Triggering Featurescontinued
Education renewal alerts
Alerts provided for three ranges 90, 60 and 30 days
Itemized total of licenses in each range
New item entering range
“VIEW LIST” button for expanded detail about each expiring education requirements
Search function for locating and individual license
Tracking Featurescontinued
License Pending
Lists total number of licenses
Provides a “view list” button for more detailed information about each pending license
Search function for locating individual licenses
Pending Licenses with application date entered automatically
populates Document Tracking field
Tracking Featurescontinued
Document Tracking
Document titles can be entered with reference dates and status
Documents listed in chronological order
After License status is changed to Active, License will populate
the Active License field
Tracking Featurescontinued
Active Licenses
Lists total number of licenses
Provides a “view list” button for more detailed information about each active license
Search function for locating individual licenses
Tracking Featurescontinued
Events Calendar
Related events can be entered onto calendar
Events can be linked to web sites
Event notification can be forwarded to multiple e-mail accounts
Filters can be applied to search for specific events i.e. active or past events, by date, city, or by state
Graphic images can be linked to and displayed with the event
Company Profile
Company Profile
Complete outline of company data
List of all company licenses with type, date and expiration date
List all company notes with the posted user
Course Page
Maintain courses with complete reference profile
Add courses and all related data
Search and list courses
Provider Page
Maintain and modify course providers
Add and modify third party education Providers
Search and list Providers
Administrator Page
Maintain and modify company administrators
Add unlimited number of Administrator as well as define access data levels
Search and list all current administrators entered under company
ATSTriggering set up
Auto-Triggering systemAutomatic e-mail generation on designated dates for contacting branches and loan officers with information on renewal deadlines
E-mail notification content can be modified by your in-house administration
E-mail log
All e-mail sent thru the ATS as well as generated in the reports and officer section are archived. This toll help you search for sent e-mails by name, subject or date ranges.
Branch Profile
Branches
List of all the branches under the current company
Lists branch profile
Lists of all licenses under a specific branch
List of all related notes
List of branch officers
Officer Profile
Loan Officers
List of all officers under that company and or branchExcel (CSV) data upload for officersExcel (CSV) data upload for course rosterE-mail link for notificationsDetail profile of loan officerDetail of licenses held by officerNotes attached to officerEducation history of officer, detail of course, course provider, date, hours required, expiration date and certificate
Data Upload
EXCEL compatible (CSV) template provided for upload of company, branch, officer and roster data
Reporting Features
You have the ability to search data and create reports through your flexible combination of data filters
NameStateCourseCredit HoursLicense numberLicense statusSS#BranchBranch AdminCourse ProviderLicense Expiration “from”License Expiring “to”
Create custom lists for mass e-mail broadcasting compiled from the same report filtering tools
States Regulatory Data
Provides a detailed list of state regulatory requirements and contact information for each state agency
State Education Deadlines
This section is designed to be a short list or reference area for specific course deadlines. List can be tailored to show only those states pertaining affecting your companies compliance.
Technical Support
Unlimited technical support
Initial data upload within 24 hours from receipt of payment
Password granted / login information
Supplemental Feature
Education credits completed through our education partner TrainingPro, will automatically populate the Compliance Keeper education data base
Why an Internet based Solution?
Unlimited access:ComplianceKeeper is instantly available – no downloading or installation is needed. Easy to deliver, maintain and support.
Upgrades Included:All upgrades are included in the subscription price: no extra charge for new features.
Program can be used across multiple platforms:
As a web-based product, ComplianceKeeper is available to users across various platforms including Windows, Mac, Unix etc.
Easy to deliver upgrades:The latest upgrades are loaded on the ComplianceKeeper server; all users automatically have access to the most recent version.
Program is available from anywhere:One central home for all your information, authorized users may access the program from anywhere anytime – no extra charge or tracking hassle.
The Key
The key measure of our success is our customers’ success. ComplianceKeeper is dedicated to ensuring your ComplianceKeeper investment delivers outstanding business results. We work closely with you to combine strategy, data, people, processes, and technology to build your business through the management of your compliance related data.