Client file compliance checks
Audit-ready files without the annual panic. Each policy is checked for the paperwork your licence needs, and the gaps land on one monthly list.
Hours back
3
hours a week back, typically
How it runs
What we build, step by step.
This is the usual shape. Yours gets built around how your team actually does the job.
- 01
Your checklist set up
The records your licence and network require, by type of cover and type of client.
- 02
Each new policy and renewal checked
Documents on file are read and ticked off. Missing or unsigned records are listed.
- 03
Client records kept current
ID and company details due for a refresh are flagged, with a request drafted for the client.
- 04
A monthly gaps report
Which files need work, what's missing and who owns the fix, sent to your compliance lead.
Shown with software we see a lot. If your team uses something else, we build it into that instead.
Built for your business
Same job, different business. We build yours.
Two firms in the same trade rarely run a job the same way. Different software, different steps, different people signing off. We build it for your business, around how your team actually does the job.
Your steps
Built around the order your team already works in, odd exceptions included.
Your software
Runs inside the tools you already pay for, set up the way you use them.
Your rules
Your wording, your limits, your sign-offs. Nothing generic goes out in your name.
You sign off
Your team keeps the final say.
Your compliance lead reviews the report and decides how each gap is fixed. The build checks and lists. It never signs a file off as compliant.
What it's worth
What those hours add up to.
3 hours a week, over 46 working weeks, is 138 hours a year. At $50 an hour, that’s
$6,900
back in the business, every year.
Typical, not promised.
Before and after
The job, before and after.
How it runs today
Disclosure documents, the needs analysis, the client's instructions and the reasons for the recommendation should all be on file. Most of the time they are. Nobody knows which files are missing something until the auditor or the network asks.
What we build
- Your checklist set up
- Each new policy and renewal checked
- Client records kept current
- A monthly gaps report
A month in
Gaps get fixed the month they appear instead of during an audit, and pulling a file for review takes minutes.
FAQ
Whose rules do the compliance file checks follow?
Yours. The checklist comes from your licence obligations and your network's requirements, and you can change it after handover.
Do compliance checks read our broking system?
Where it can connect, yes. If it can't, the checks work from the documents saved to your shared drive. We confirm which in the proposal.
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Bring this one to a free live build.
Thirty minutes on client file compliance checks. We build its elf with you, live, and you keep it.