Guided Compliance Review gives every team member a compliance checklist for each transaction, built from your team's default documents and from the answers the agent gives to property-specific questions. Documents are submitted, reviewed and approved inside Jointly, and the deal carries a status that shows where it stands.
Guided Compliance Review has to be switched on for your account before you can use it. If you do not see it, it has not been enabled.
Who does what
Team Admin — turns guided compliance on, answers the setup questions, and keeps the team's default documents accurate. Those are what drive every checklist.
Agent or TC — provides the documents the checklist asks for and submits them for review.
Compliance Manager — approves or rejects documents, decides on exemption requests, and moves the review status along. Can also add or remove a requirement on a particular deal.
Commission Manager — completes the CDA/Invoice, and is the only role that can set Ready for Closing.
Both roles have to exist on the team. If nobody holds the Compliance Manager role, an agent trying to submit is told "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 they change on the documents will clear that.
Where to go next
Submitting Documents for Compliance Review — for agents and TCs: how to submit representation and contract documents, and what to do when you cannot.
Meeting a Document Requirement — the three ways to satisfy a requirement, and how to request an exemption when it does not apply.
Reviewing Documents as a Compliance Manager — approving, rejecting, sending a deal back, and changing what a deal's checklist asks for.
Completing the CDA and Invoice — for Commission Managers.
What each status means
There are two vocabularies, and they are easy to mix up. The transaction approval status belongs to the deal and appears at the top of it. A document review status belongs to a single document.
Transaction approval status — the deal
Rep Docs Not Submitted — representation documents have not been sent for review yet.
Rep Docs In Review — they have been submitted and are with the Compliance Manager.
Rep Docs Approved — every representation document has been approved and the reviewer has moved the status.
Not Submitted For Review — the contract or lease documents have not been sent for review yet.
In Review — the contract or lease documents are with the Compliance Manager.
Missing or Rejected Docs — the reviewer has sent the deal back: something is missing, rejected, or its exemption was denied.
Ready for Closing — the CDA/Invoice is complete and a Commission Manager has moved the status.
Completed — the transaction is finished. Documents can no longer be submitted for review on it.
Document review status — a single document
Pending Review — submitted and waiting for the reviewer.
Approved — accepted by the reviewer.
Rejected — sent back for correction. It keeps blocking the deal until that document is resubmitted.
Exemption Requested — the agent has asked to be excused from providing it. This counts as answered, so it does not block the submission.
Document Exempted — the reviewer granted the exemption.
Exemption Denied — the reviewer refused it. This blocks the deal in the same way a rejection does.
Setting up guided compliance (Team Admins only)
What an agent is asked to provide comes from two places: your team's default documents, and the answers the agent gives to the compliance questions. Keep the default documents accurate — they drive every checklist.
To start using Guided Compliance Review, a Team Admin selects the Guided Compliance Review option in the team's Transaction Approval settings.
The settings
You then answer a set of Yes / No questions. They decide how much of the process is automatic, and what the checklist asks for.
How documents are submitted, and who is notified
Allow agents to submit individual documents for review at any time? — with No, agents submit the whole file rather than sending single documents as they go.
Should the agent submit representation documents for review in advance? — if No, the agent will be required to submit representation and contract documents after the deal is executed.
Should the Compliance Manager be notified when all required documents are submitted for review?
Should the commission request be automatically assigned to the agent once all required documents are submitted for review? — if not, the commission request must be added manually.
Should the Commission Manager be notified when a commission request is completed?
Placeholders — each of these adds a requirement to the checklist when its condition applies.
If the property was built before 1978, will the "Protect Your Family from Lead in Your Home" pamphlet be required?
If the contract had repair amendments, will copies of the repair receipts be required?
If a tenant is unrepresented by a real estate agent, will a Representation Agreement be required?
Signature Requirements
Should clients be required to sign notices and pamphlets? (Optional)
Finally, make sure someone on the team is assigned to the Compliance Manager and Commission Manager roles. Without them, agents cannot get a file reviewed.
Different types of transaction
If a type of transaction needs a different set of documents, set up a scenario for it rather than working around the checklist. Scenarios let you define the default documents and tasks per transaction type, so the right requirements appear on their own.