For Brokerages

Office Compliance for Brokerages

• • Review of agent work (all contracts) submitted and the provision of non-legal advice on compliance.

  • Request missing documents to ensure that all submitted contracts by agents are in compliance with the rules and regulations of regulatory agencies, the brokerage’s policies and procedures are being followed, and that behavior in the organization meets the brokerage’s Standards of Conduct.

  • Consistent and dedicated full-time compliance support for your Brokerage.

  • Compliance with RE Commission rules and regulations, and office policies, including smoother transitions for complying with new regulations.

  • Transparent reporting procedures: provide a monthly report to keep the Brokerage informed of progress on compliance efforts.

• • Create successful audit processes, including conducting periodic internal reviews/audits to ensure compliance procedures are followed.

  • High-level work completion that greatly reduces the potential for lawsuits and other legal problems.

  • Delineation of compliance processes that increase efficiency.

  • Consulting with the Brokerage about processes, practices, systems, and areas of improvement, as necessary/ useful.

  • Propose solutions relating to compliance requirements that impact the Brokerage business, as necessary/useful, such as evaluating the adequacy of internal controls and identifying inefficient business processes that hinder compliance.