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Use this checklist to help shape your organization’s compliance program—from loan officer onboarding, training, and education to compliance monitoring, remediation, and technology—to ensure your loan officers are compliant in all of their marketing communications.
Loan Officer Onboarding
Provide documentation and ensure loan officers have a clear understanding of:
Training and Education
Regularly review and update the company's social media policy and compliance training to stay current with changes in regulations and emerging risks by:
Conduct regular internal compliance training programs for loan officers, which includes:
Enforcement and Remediation
Have a clear action plan for instances of non-compliance by a loan officer. This may include:
Monitoring + Auditing
Have a system in place to monitor:
Implement a social media compliance software or tool to help monitor loan officer's social media activity and ensure compliance with regulations that includes:
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