Overview
Settings > Compliance Documents is where you set up your organization's compliance checklist: the sign-off items that appear on every mortgage file's Compliance tab so your team can complete required checks before sign-off. You can add, edit, reorder and delete items.
Admins and compliance officers use it to standardize what must be checked on each file, for example identity verified, FINTRAC record completed or disclosures delivered.
Also called: sign-off checklist.
At a glance
This page is the organization checklist, and only that list is available here in the current release.
Settings > Compliance Documents shows the Compliance checklist.
Admins, or anyone with Pipeline Configuration, can add, edit, reorder, and delete items.
The same list appears on every mortgage file. Deleting an item removes it from every file.
Before you begin
This is the permission you need, and the setup that is not on this page in the current release.
You need to be an admin, or have the Pipeline Configuration permission, to see the Compliance Documents tab.
Checklist items apply to your whole organization. Every mortgage file shows the same list.
Other compliance setup (brokerage identity and licences, wording and generation defaults, BC MSA defaults, document sets, the template library and custom PDF upload) isn't available on this page in the current release.
Step-by-step instructions
The steps below cover opening the page and adding, editing, reordering, or deleting a checklist item.
Open Compliance Documents settings
Compliance Documents is under Documents & Compliance in Settings, and it shows the checklist for every mortgage file.
Go to Settings.
Under Documents & Compliance, select Compliance Documents.
The page shows "Sign-off checklist items applied to every mortgage file" with the Compliance checklist section.
Add a checklist item
Add checklist item creates a numbered item at the end of the list after you enter a title and select Save.
Select Add checklist item.
Enter a Title (required), for example "Photo ID verified".
Optionally, add a Description (optional) explaining what counts as done.
Select Save. You see "Checklist item added".
The item is numbered and added to the end of the list.
Edit a checklist item
Editing a checklist item changes its Title or Description and shows "Checklist item updated".
Select the edit icon on the item.
Change the Title or Description.
Select Save. You see "Checklist item updated".
Reorder checklist items
Reordering a checklist item by dragging it changes the order every mortgage file uses.
Drag an item by its handle to a new position.
You see "Order updated". Files show items in this order.
Delete a checklist item
Deleting a checklist item removes it from every mortgage file.
Before you continue: deleting an item removes it from every mortgage file.
Select the delete icon on the item.
Confirm "Are you sure you want to delete this checklist item? It will be removed from all mortgage files."
You see "Checklist item deleted".
Complete the checklist on a mortgage file
The Compliance checklist on a mortgage file's Compliance tab is where the team ticks the items you set up here.
On any mortgage file, open the Compliance tab and scroll to Compliance checklist. Click an item to mark it done. See Compliance tab.
Practical examples and other ways to use it
These examples show BC disclosure items, FINTRAC checks, and a list ordered for a pre-funding review.
BC brokerage. Add "Form 1A signed", "Form 3A delivered" and "Form 4 delivered" so the team confirms MSA disclosures on every BC file.
FINTRAC checks. Add "Identity verified (method recorded)" and "PEP determination recorded" with descriptions of the acceptable evidence.
Pre-funding review. One way to use the list: put the items your compliance lead reviews last at the bottom, so the file reads top to bottom in working order.
Common mistakes and how to avoid them
These mistakes cover deleting to rename, vague titles, and province-specific items on every file.
Mistake: deleting an item to rename it. Deleting removes it from every file, and files that had it ticked lose that tick. Prevent: use edit to rename instead.
Mistake: vague titles. Teammates can't tell when an item is done. Prevent: put the evidence needed in Description (optional).
Mistake: adding province-specific items for everyone. Every file shows every item. Prevent: name province-only items clearly, for example "BC only: Form 1A signed".
Troubleshooting
Each heading below is a missing tab, a save error, or an empty checklist on a file.
I can't see the Compliance Documents tab
The Compliance Documents tab is missing when you are not an admin and you do not have Pipeline Configuration.
Possible causes
You're not an admin and don't have the Pipeline Configuration permission.
To fix
Ask an admin to grant Pipeline Configuration in your role's permissions.
"Please enter a title"
"Please enter a title" means Save was selected with the Title empty.
To fix
Enter a Title before selecting Save.
"Failed to add checklist item", "Failed to update checklist item", "Failed to delete checklist item" or "Failed to update order"
These messages mean the add, edit, delete, or reorder did not save.
To fix
Reload the page. The list shows what was actually saved.
Repeat the change.
Contact support if
The same change fails again. Include the item title, what you were doing, and the time.
"Failed to load compliance checklist"
"Failed to load compliance checklist" means the list did not load on this page.
To fix
Reload the page.
Contact support if
The list still doesn't load. Include the time and a screenshot.
Files show "No checklist items configured for this org."
"No checklist items configured for this org." means no checklist items have been added yet.
Possible causes
No checklist items have been added yet.
To fix
Add items here. They appear on every file right away.
Tips and best practices
These tips keep the list short, readable when ticked, and edited instead of deleted.
Keep the list short. Every item shows on every file, so a long list slows the team down.
Write titles as completed statements ("Photo ID verified"). It reads clearly when ticked.
Review the list when regulations or your policies change, and edit items rather than deleting them.
Limitations and important behavior
These limits cover one list per organization, what delete does, and the setup that is not on this page.
One checklist per organization. It isn't filtered by province, lender or transaction.
Deleting an item removes it from every file.
Collaborators on a file see "The file owner has not set up a compliance checklist yet." when the owner's organization has no items.
Brokerage identity and licences, BC MSA defaults and presets, document sets, the template library and custom PDF upload can't be edited here in the current release. If an on-screen message points you to one of those sections (for example "Settings › Compliance documents › Identity & licences"), contact support.
Frequently asked questions
These questions cover whether items block a file, separate checklists, and where templates come from.
Do checklist items block anything on my file? They are sign-off items for your team. The Compliance tab shows the "{done} / {total} done" count.
Can different teams have different checklists? No. The checklist belongs to the organization.
Where do compliance document templates come from? They're provided with Broki and chosen per file with Prepare compliance documents on the Compliance tab.
Related articles
These articles cover the Compliance tab, BC forms, and who can open Settings.