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”

E-mail

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.