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ComplianceBuild a Compliance Package Template

Build a Compliance Package Template

Set the running order a team assembles a signing package in, and which documents it starts from.

  • Owner/Admin
  • Compliance Officer
Open Compliance Hub in BrokerPlus

A package template is the running order a team assembles a signing package in: which documents belong in it, whether each one is required or optional, and what goes on the cover page. Every deal starts from a template, so setting one up once saves the team from rebuilding the same list file by file.

When You'd Use This

Set a template up before the team starts assembling packages for a given purpose, like a standard lender submission file. Reach for this whenever a team keeps re-adding the same documents in the same order, or when a broker skips something the file was supposed to carry.

Creating a Template

From the Packages view, Add package template opens an editor. Pick the team it belongs to - a package template is a team library item, not a personal one - and that choice is permanent; there's no way to move a saved template to a different team, only create a new one. Give it a name and, optionally, a description saying when a broker should reach for it.

Ordering and Marking Documents

Add documents from the available requirement library: BrokerPlus's built-in disclosure requirements plus any custom requirements your brokerage or team has added. Each becomes a slot with its own editable display name. Reorder slots with the up and down arrows; the position you land on is what the built package follows.

Every slot is Required or Optional, and Included or Excluded. The editor won't let a slot be marked required while excluded - dropping a required document makes it optional, and marking a slot required switches it back to included, since a required-but-excluded slot is exactly what the package builder blocks a build on. You can also cap how old a document is allowed to be, in days; past that, the build flags it as possibly stale rather than blocking outright.

Adding a Cover Page

Switch on a cover page and the package leads with one listing what's inside. Set its title (it defaults to "Compliance package") and, optionally, a message underneath - useful for saying who prepared the package or what it's for.

What a Broker Can Still Change

A template sets the defaults, not a lock. A broker starting a package from it can still include or drop a document before the package is actually built, so the team never has to rebuild the same list from scratch.

What to Watch Out For

  • Brokerage templates are locked to teams. Your brokerage may publish its own package templates, offered to every team alongside the team's own. Only a compliance administrator can edit those; a team sees them with a lock icon and no controls.
  • A brokerage can lock the team library too. If team package templates are locked as a policy, Add package template is disabled and existing templates lose their edit and archive controls - deals fall back to the brokerage's templates instead.
  • Archiving keeps history. It doesn't touch packages already built from the template; those keep their snapshot of what was included at the time.
  • A requirement has to be available to the team. One scoped to a different team won't show up in the picker.

What to Do Next

Keeps track of what you have already been through.

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