Guided compliance asks you to submit documents for review twice on a transaction: your representation documents on the client deal, and your contract or lease documents on the executed offer. Both are submitted from the transaction approval status at the top of the deal.
Why can't I submit for review?
This is the most common question about compliance review, and it almost always has one of these four causes.
A document is still In Progress
A required document that is still being worked on blocks the submission. When you try to submit, Jointly shows Requirements incomplete:
One or more of your documents is not yet complete. Please complete any in progress documents or upload the completed document version in order to submit for review.
Back on the Documents page, each requirement in the way is marked with the reason:
Please complete this document before submitting for review. — the document exists but is not finished.
Please attach a document for this requirement or request an exemption before submitting for review. — the requirement has nothing attached to it at all.
You have three ways forward for an in-progress document:
Finish it — fill in every field and collect every signature.
Delete the task and upload the signed copy instead. If the document was executed outside Jointly, you do not have to drive it through the platform: delete the outstanding task and upload the signed copy to the requirement.
Request an exemption on it. See Meeting a Document Requirement.
An in-progress document cannot go through compliance review as it stands. If a reviewer needs to look at it before it is finished, go to Participants, open the message actions for that person and choose Send a Login Link so they can view it. They will not be able to approve or reject it while it is incomplete.
A rejected document has not been resubmitted
A rejected document keeps blocking the submission until you resubmit that document. This is the one that catches most people: adding the amendment or addendum the reviewer asked for does not clear the rejection, because the rejection is on the original document, not on the deal.
Open the rejected document.
Click Resubmit For Review in the controls at the bottom of the document. This removes the rejected status.
Then submit the deal again from the transaction approval status dropdown.
A denied exemption behaves the same way as a rejection and has to be cleared the same way.
A required document your broker does not want
If a requirement does not apply to your transaction — or your broker has told you not to provide it — do not try to work around it. Request an exemption on that requirement and give the reason. An exemption request counts as answered, so it stops blocking the submission. See Meeting a Document Requirement.
There is no Compliance Manager on the deal
If nobody holds the Compliance Manager role, submitting shows:
There is no compliance manager on this deal. Your Team Admin will need to invite this role to the team before you can continue.
Nothing you change on the documents will clear this. Your Team Admin has to assign the role.
Submitting representation documents
The representation checklist comes from your team's default documents.
The transaction approval status appears once the deal is active. A deal created directly as Active, Pending or Closed has it from the start. A deal created through onboarding becomes active when your clients sign their representation agreement — that is when the status appears on the deal.
If your Team Admin answered No to "Should the agent submit representation documents for review in advance?", you cannot submit representation documents on their own. You will submit representation and contract documents together, after the deal is executed.
Click the transaction approval status at the top of the deal — it reads REP DOCS NOT SUBMITTED — and select Submit for Review.
If anything is incomplete or missing, you get the Requirements incomplete message described above instead of the submission form.
Complete anything marked In Progress — every field filled and every signature collected — before trying again.
When everything is in order, the submission form asks Do you want to notify your compliance manager? Answer Yes or No, and if you answer Yes you can include a personal note to your compliance manager. Click Submit.
The status changes to REP DOCS IN REVIEW, and each submitted document shows PENDING REVIEW on the Documents page until it is approved or rejected.
Submitting contract documents
The contract checklist comes from your team's default documents and from your answers to the property-specific questions on the contract.
The offer has to be executed in Jointly before you can submit. Click the status indicator next to the offer title — for example DRAFT — and set it to EXECUTED.
Only one offer can be executed per deal
If another contract on the deal is already marked executed, Jointly stops you:
Only one offer can be executed per deal. Please update your contract statuses so that only a single contract is marked as executed. Click here to manage your contracts.
Use that link to set the other contracts to their real status before executing this one.
Answering the contract questions
Once the offer is executed you are asked the questions about the contract details. Answer these accurately: your answers decide which documents the checklist requires.
The review status then shows NOT SUBMITTED FOR REVIEW.
The Contract Documents page then lists a placeholder for every document you have to provide — built from your answers to the contract questions plus the documents your brokerage requires by default.
Make sure every required document has been provided. Click a requirement and you can upload to it directly, draft it in Jointly if the form is in our library, or request an exemption. All three are covered in Meeting a Document Requirement.
Submitting
Click the transaction approval status — NOT SUBMITTED FOR REVIEW — and select Submit for Review.
Confirm the final acceptance date and the closing date. Both are prefilled from the contract; change them if they are wrong.
The contract questions you answered at execution are shown again so you can confirm nothing has changed. This is not a formality: if an answer changes here, the checklist changes with it and new required documents can appear.
Say whether any contract amendments were added. Answering Yes adds the placeholders for them — you are not asked to fill the amendment in here, only to say that it exists so the requirement appears.
With every requirement met, the transaction approval status updates to IN REVIEW.
Which documents get submitted
Submit for Review sends every document that has a document type. A file sitting in your Inbox with no type selected is not submitted — that is the only thing that holds a document back.
The requirement list tells you which documents are still missing. It does not limit what gets sent: documents that do not match a requirement are submitted too, as long as they have a type.
So if something you expected to be reviewed was not submitted, check its document type first. If the right type is not in the list, set it to Other. Setting a document type is covered step by step in Meeting a Document Requirement.
Sending one document on its own
Whether you can submit a single document by itself depends on the team setting Allow agents to submit individual documents for review at any time?
Even with that setting off, individual submission becomes available once the file has been submitted at least once — for example after a submission has been withdrawn. It stops being available for good once the transaction approval status is Completed.
Related
Guided Compliance Review — what the review is, who does what, and what each status means.
Meeting a Document Requirement — the three ways to satisfy a requirement, and how to request an exemption.
Reviewing Documents as a Compliance Manager — what happens to your documents once they are submitted.
Setting Team Scenarios, Default Documents & Tasks — what drives the checklist.