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90 Days

Week 9

Week 10 -11

Your Week 9 Checklist: Compliance & Defensible Positions

1. Meet with your Compliance Officer

a. Work on your templates for ethics violation & DOL complaints

b. Answer 3 practice complaints with your compliance officer

c. What to do if someone tries to serve you a subpoena.

2. Connect with your Manager on how to answer interview questions from a regulator

3. Define a demand and what to do if a demand comes in

a. Define verbal demands

b. Written demands

c. Subpoena - what is it? How much power does it have?

4. Think like an internal State auditor

a. What processes do you need to set up?

b. Trello?

c. Phone log?

d. Daily calendar?

5. Weekly posts in WP on compliance matters

a. Build out your defensible position and have 15-20 posts on your Trello board ready to copy/paste into FB/emails

Your Week 10 Checklist: MLS Membership Follow up

1. Connect with all of your Boards & MLS’ a. Ensure the brokerage name is correct, address/phone number is accurate, etc b. Orientation is completed c. Any specific unique local rules are understood and training videos for the agents are established 2. Start tracking State meeting attendance on XYZ attendance spreadsheet

Your Week 11 Checklist: Self Assessment Series

1. Conduct a self audit a. How many attend & participate in your State meetings? b. How many of your agents are calling daily? c. How comfortable are you with LPTs tools & technologies? d. Are you feeling good about all of the training videos? e. Is your State transaction checklists, “How To” guide and “Onboarding Welcome Letter” completed?

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