Create, Edit, and Delete Broker Groups for Compliance Review – Leadership Answers

As agents are creating Opportunities and managing their transactions in Command, they will need to upload documents for compliance approval. Before they can do this, the Market Center must create a checklist of all of the documents that are needed.

Click here to learn how to create Market Center compliance checklists.
Click here to learn how to edit and reorganize Market Center compliance checklists.

Now, you have the ability to create Broker Groups for your Market Center, assign Compliance Coordinators and Assistant MCAs to each group, and assign each of your checklist types to these groups. Creating Broker Groups in this way allows you to restrict access for Compliance Coordinators/Assistant MCAs to only be able to review Opportunities that are using those specific checklist types.

If your Market Center has multiple brokers, you can now limit the transactions that each Compliance Coordinator/Assistant MCA has access to, through Broker Groups.
If you have Business Centers that are far from the Market Center, you can create compliance checklists, that are specific to the Business Center, and assign local Compliance Coordinators/Assistant MCAs to those checklists.
If you have specialized checklist types that require someone specific to review (commercial, land, etc.), you can create Broker Groups for this and assign the correct people to it. Unassigned compliance team members won't see those compliance requests and can focus on regular checklist types.

MCAs will have automatic access to all broker groups, which means you will not be able to select them when creating a broker group. Assistant MCAs must be added to the broker groups they need access to.

Once you assign checklist types to a Broker Group, it immediately restricts access to review Opportunities using those checklist types, to those who have been assigned to the group.

If you don't assign Broker Groups, then you will continue to be able to manage compliance in the normal way, with every Compliance Coordinator/Assistant MCA able to review the compliance for Opportunities of all checklist types.

To learn how to create, edit, and delete broker groups for compliance review, follow the steps below:

1. Log in to https://agent.kw.com with your KW login credentials.

2. Click CommandMC at the top of the page.

If you are a leader in two or more Market Centers, click your Name, at the top right of the page, and ensure the correct Market Center is selected.

cmc profile select correct mc.png

3. Click the Administration icon, , on the left side of the page.

4. On the left side of the page, make sure the Compliance category is open, and select Broker Groups.

5. On the Groups tab, click Create a Broker Group (if this is the first one) or Create New Group (if there are existing Broker Groups created).

6. Complete the Create Broker Group Form:

Enter the Group Name.
Use the drop-down list to Add Checklist Types that you want to assign to this Broker Group.
Use the drop-down list to Select Group Members (Compliance Coordinators and Assistant MCAs) to this Broker Group. These members are the only people in the Market Center who will have access to review Opportunities using the checklist types selected for this Broker Group.

7. Repeat steps 5 & 6 to create all of the Broker Groups that your Market Center needs, keeping in mind the number of brokers and Business Centers that need separate compliance review.

Edit Broker Groups

1. To edit Broker Groups, ensure that you are on the Groups tab, then click on the Broker Group you want to edit.

2. Make any changes you need, in the Edit Broker Group Form, then click Save.

You can also use the Members tab to manage Broker Groups from the member level. Select a compliance team member (Compliance Coordinator or Assist. MCA) and you will be able to add/remove access to/from existing Broker Groups.

cmc broker groups manage members.gif

Delete Broker Groups

1. To edit Broker Groups, ensure that you are on the Groups tab, then click on the Broker Group you want to delete.

2. Click Delete Group, at the bottom left of the pop-up.

3. A confirmation will appear, click Yes, Delete.

This will take immediate affect. The checklist types included in this deleted broker group will no longer be limited to those former broker group members. If these checklist types are not included on any other broker group, then all compliance team members associated with your Market Center will have access to review compliance for these checklist types.

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