Knowledge Base & Support Reference
This document covers the Compliance tab inside a Broki mortgage file — including how to set up your compliance checklist, track items, prepare compliance documents, and merge everything into a single compressed PDF for submission to Velocity or FINMO.
Sections Covered
1. What the Compliance Tab Is
2. Setting Up Your Compliance Checklist
3. Using the Compliance Checklist in a File
4. Preparing Compliance Documents
5. Uploading Additional Documents
6. Ordering and Merging Documents
7. Submitting to Velocity or FINMO
8. Quick Reference — Where Is That Button?
1. What the Compliance Tab Is
The Compliance tab inside a mortgage file is designed to make the end-of-file compliance process as streamlined as possible. Since many brokers collect documents through Broki but ultimately need to submit compliance to their head office through Velocity or FINMO, this tab bridges that gap.
It provides two core tools:
Compliance checklist | A customizable checklist of everything your brokerage requires for compliance — so you always know exactly what you have and what you are still missing. |
Prepare compliance documents | A module that lets you select, reorder, compress, and merge all your compliance documents into a single PDF — ready to upload to Velocity or FINMO in one action. |
2. Setting Up Your Compliance Checklist
The compliance checklist must be configured before it will appear on any file. What you include will depend entirely on what your brokerage requires — every brokerage has different compliance requirements.
📍 Settings → Compliance Checklist
How to create checklist items
Go to Settings and find the Compliance Checklist subheading.
Click Add Checklist Item.
Give the item a title (e.g. 'AML Form', 'Photo ID', 'Mortgage Commitment', 'Credit Bureau').
Optionally add a description for additional context.
Click Save.
Repeat for every item your brokerage requires.
Best practice: Review your brokerage's compliance requirements and build out the full checklist before you start closing files. This way the checklist is ready to use from day one.
⚠ The Compliance tab inside a mortgage file will show no checklist items until you have created at least one item in Settings → Compliance Checklist. The Prepare Compliance Documents button will also not appear until at least one checklist item exists.
3. Using the Compliance Checklist in a File
Once your compliance checklist is configured in Settings, it automatically appears in the Compliance tab of every mortgage file.
Working through the checklist
Open the mortgage file and click the Compliance tab.
All your configured checklist items are listed.
As you confirm you have each item, check it off.
Use this checklist to identify gaps before you start the compliance packaging process — it is much easier to find a missing document now than after you have already started preparing the submission.
Walk through the entire checklist before clicking Prepare Compliance Documents. If you are missing items, go back to the Documents tab to locate them or request them from the client.
4. Preparing Compliance Documents
Once all your checklist items are confirmed, you are ready to prepare the compliance package.
Opening the module
Click the Prepare Compliance Documents button on the Compliance tab.
This button only appears once at least one compliance checklist item has been created in Settings.
The prepare module opens, showing all documents currently available from the file's Documents tab.
Selecting documents to include
Click on any document to add it to the compliance package. It moves to the right-hand selection panel.
Continue selecting all the documents you need to include.
Documents already uploaded to the file via the Documents tab will appear here automatically — no need to re-upload them.
5. Uploading Additional Documents
If some compliance documents were not collected through the Broki Documents tab (e.g. they exist on your computer but were not uploaded to the file), you can add them directly in the prepare module.
In the prepare module, click the upload area or drag and drop files into the section.
The uploaded files become available to select for the compliance package.
You can upload as many additional files as needed.
6. Ordering and Merging Documents
Reordering documents
Once documents are in the right-hand selection panel, drag them to rearrange them in the order your brokerage requires.
Common ordering: compliance checklist first, then IDs, credit bureau, mortgage commitment, income documents, and so on — but this depends entirely on your brokerage's requirements.
Compressing and merging
Once all documents are selected and in the correct order, click Compress and Merge.
The system combines all selected documents into a single compressed PDF.
The merged PDF is downloaded to your browser automatically.
You now have one single PDF containing your entire compliance package, ready to upload to Velocity or FINMO.
Having a single merged PDF means you only need to upload one document to Velocity or FINMO rather than uploading each document individually — significantly faster for end-of-file compliance submission.
7. Submitting to Velocity or FINMO
Take the downloaded merged PDF and upload it to your Velocity or FINMO file to submit for compliance to your head office.
The exact submission steps will depend on your brokerage's process in Velocity or FINMO — follow your standard compliance submission workflow once you have the merged PDF.
The Compliance tab in Broki is a preparation and packaging tool — it does not submit directly to Velocity or FINMO. You still need to complete the submission in your compliance platform.
8. Quick Reference — Where Is That Button?
Button / Feature | Location | What it does |
Compliance tab | Left sidebar inside a mortgage file | Access the compliance checklist and prepare compliance documents |
Compliance Checklist (settings) | Settings → Compliance Checklist | Create and manage the list of items your brokerage requires for compliance |
Add Checklist Item | Settings → Compliance Checklist | Add a new item to the compliance checklist (title + optional description) |
Compliance checklist (in file) | Compliance tab | Tick off items as you confirm you have them — identifies gaps before packaging |
Prepare Compliance Documents button | Compliance tab | Opens the compliance packaging module — only appears once at least one checklist item exists in Settings |
Document selection (module) | Inside the prepare module | Click documents to add them to the compliance package — they move to the right-hand panel |
Upload / drag and drop (module) | Inside the prepare module | Upload additional documents that were not collected through the Documents tab |
Reorder (module) | Right-hand panel inside the prepare module | Drag documents into the order required by your brokerage |
Compress and Merge | Inside the prepare module | Combines all selected documents into one compressed PDF and downloads it |