- Included with every training plan
The written policies examiners ask for. Built in minutes.
Answer a few questions about your company and the Compliance Toolkit generates your Compliance Management Plan, QC Plan, AML Policy, WISP and Employee Handbook, sized to your loan volume, staff and products. No compliance department required.
7 documents · One dashboard · Yearly review reminders
Why it matters
You built a mortgage company. Nobody handed you a policy binder.
Most owners came up through sales. The back-office documents regulators, investors and auditors expect (a CMS, a QC plan, a BSA/AML policy, an information security program) usually get written the week before an exam, if at all.
Documentation gaps
If it isn’t written down, examiners treat it as if it doesn’t exist, even when your team does the right thing every day.
Paid for once, never opened again
Many owners paid a firm for a set of policies when they opened their shop and haven’t looked at them since. Your company has changed. Your documents probably haven’t.
No paper trail
Complaints and suspicious activity handled by email leave no record you can show when someone asks.
The fix
Every core document and log in one place, built from your answers. Annual reminders prompt you to review each one or generate a new version, so it always reflects the business you actually run.
What's inside
Five document generators. Two living logs.
Together they form the foundation of a well-documented compliance program.
Generator
Compliance Management Plan
A documented Compliance Management System (CMS) that sets out your policies, monitoring activities and oversight structure.
Generator
Quality Control Plan
A QC plan tailored to your loan volume, staffing and product mix, with review sampling, timelines and reporting included.
Generator
AML Policy
A Bank Secrecy Act / Anti-Money Laundering policy sized to your products and risk profile, with red-flag identification and SAR filing procedures.
Generator
Written Information Security Program
Your WISP: the safeguards that protect customer information: risk assessment, access controls, vendor oversight and incident response.
Generator
Employee Handbook
Answer a few questions and get a complete, customized handbook covering workplace policies, expectations and procedures.
Living log
Consumer Complaint Log
One centralized record for complaints received by phone, email, social media or a regulator, as part of your CMS.
Living log
SAR Tracking Log
A companion to your AML Policy: a central log for your BSA/AML Officer to review, evaluate and monitor potentially suspicious activity.
More on the way
The Toolkit grows with client feedback. New documents are added to your dashboard at no extra cost.
IF YOU WAIT
From blank page to adopted policy in three steps.
01
Answer a few questions
Tell the generator about your company: loan volume, staff, products and states. Plain-English questions, no compliance jargon.
02
Review and adopt
Get a complete draft built around your answers. Review it for accuracy, have counsel look it over if you like, and adopt it.
03
Mark reviewed, stay current
Click “Mark as reviewed” and the dashboard reminds you each year to review the document or generate a new one, so your policies keep up with your business.
One platform
Your policies and your training go hand in hand.
The Toolkit lives in the same Client Dashboard where you track your team’s annual compliance training. Write the AML Policy, train your team on it, and log suspicious activity, all in one place.
12 compliance courses
All 12 in year one to set a baseline, then one a month starting each January.
Compliance Toolkit
Five document generators and two logs, available to your Account Owner and Company Admins.
Policies that match your training
Toolkit documents reference the Simply Compliant training your team completes, so your written policies and your training records back each other up.
Audit-ready records
Completion tracking and reports you can hand over when someone asks.
Included, not an add-on
$0 extra. The full Toolkit comes with your training plan.
Paying an attorney to draft these documents can cost thousands, and having them updated every year costs even more. Every Simply Compliant plan includes all seven Toolkit documents and the annual review reminders, alongside your team’s compliance training.
Hiring an attorney
Thousands to draft, more every year to update
Simply Compliant Toolkit
Included with your plan, with yearly review reminders
Toolkit documents are a starting point based on the information you provide and should not be considered legal advice. Review them before you adopt them, and consult an attorney if you feel it’s needed.
Questions
Toolkit FAQ
Yes. All seven documents are included with your training plan at no extra cost.
The Account Owner and Company Admins have access to the Toolkit generators in the Client Dashboard.
At least once a year, or whenever your company changes. When you mark a document as reviewed, the dashboard sets a yearly reminder for you.
No. The documents are a starting point based on the information you provide. Review them for completeness and accuracy before you adopt them, and consider an attorney review if you feel it’s needed.
Yes. Every document is generated as a Word file, so you can edit it as soon as the generator finishes building it, and any time after that.
Protect what you built.
A Fortune-500-level compliance foundation, without the cost of an in-house compliance department.