The Key to Compliance Success – Getting your Staff on Board

I’m too busy.busy

In the mortgage industry as with few other industries, the work day is driven by “fire drills”. The days are filled with emergencies on loans that require immediate attention. Employees are caught in the crossfire of directives coming down from on high, translating strategies into action plans and then making things happen on the ground. It isn’t that the middle managers are opposed to meeting compliance objective, it’s more that these initiatives just aren’t making their way through the immediacies of the day-to-day operational duties and responsibilities.

Ethics and compliance programs are as essential to the operation of a mortgage company as processing, originations, and marketing, though they have only in the past 5 years been squeaking as loudly as the others. By codifying compliance processes and content and instilling accountability, clarity and ease of accessing the information, compliance managers and business owners can leave behind those static three ring binders of policies and procedures that are collecting dust on office shelves and implement them into a dynamic, interactive content driven workflow.


There is truth to the adage that says “that which gets measured gets done”. Work that requires updates and progress reviews get completed. Work that is assigned by never followed up on usually gets ignored.


Managers are busy people, keen on working as efficiently as possible. They have little tolerance for ambiguity. Drop the legalese and be direct as possible on your expectations.


Make compliance as easy as possible for those in the field. Complicated instructions are a sure way to set up resistance. A centralized on-line approach to organizing and disseminating compliance information makes life easier for all.

A time proven way to insure that your compliance program will be successful is to bring in a third party that does compliance work as their primary job. There would be no need to spend the time and money “reinventing the wheel” and your staff will be able to devote their time to doing what they do best.

Contact Becky Watson, Ameritrain’s Director of Compliance and Licensing, for all your compliance needs.