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Frequently Asked Questions

ComplianceKeeper is the first online system designed exclusively to help mortgage companies manage state-specific regulatory requirements for the licensing and educating of mortgage professionals nationwide. is a web-based licensing and learning management system that stores, monitors, tracks, and reports on essential licensing and education information.

Learn more about the system by reading a few frequently asked questions we have compiled below. If you have further questions, feel free to contact us at 1-888-281-1133 or email us at .


Q: What are the system requirements, if any?
Answer: Any computer with an internet connection can utilize the ComplianceKeeper system.

Q: What format does our existing data need to be in to upload it to ComplianceKeeper?
Answer: The ComplianceKeeper team can conduct a CSV export from your existing spreadsheet in Excel, Access or any similar program. We provide the proper template.

Q: How often would our data be refreshed?  Would this be a nightly batch
refresh, or would it be live synchronized with our system?
Answer: If you are TrainingPro client, any information update (i.e. completed course) will instantly populate into your ComplianceKeeper database. We also provide a third party educator manual upload page.

Q: Are there any software applications we must load onto each PC, or are
only user ID's and passwords needed?
Answer: No additional software uploads are required. Access to your database on ComplianceKeeper is granted only via a login name and password.

Q: Are there disaster recovery efforts/procedures in place?
 Are there adequate back up procedures in place?
Answer: All data is mirrored onto dual servers. Additional detail is available on our "Disaster Recovery document."

Q: What type of privacy / security regulations do you adhere to?
Answer: Our servers are protected by dual Cisco PIX firewalls. Communication with users is through a 128 bit encrypted SSL connection. Administrative access is also protected by SSL encryption.

Q:  Can I use the data stored in ComplianceKeeper for other applications?
Answer: Yes, ComplianceKeeper has a built-in CSV export feature.

Q: How often does ComplianceKeeper update the software?
Answer: We are not on a fixed schedule for updates, but we are currently running about four weeks between upgrades. This process will slow down to a standard quarterly upgrade. A separate version control document is available.

Q: How are those updates incorporated into our customized system?
Answer: Updating the system is seamless and will not affect your data. New features and updates will be posted on a common document reference page on the site. If we anticipate any procedure that will affect your service you will be notified by e-mail.

Q: How do we report bugs? 
Answer: Report any issues directly to ComplianceKeeper. You may email the ComplianceKeeper operations team directly at: or you can use the "Contact Us" link found on the web site in the lower task bar.

Q: What is the average time that bugs stay open?
Answer: We will do are best to address any bugs as quickly as possible. Time will vary depending upon the complexity of the fix, however, most bugs can be repaired in under 24 hours.

Q: How do we request enhancements?
Answer: Any company specific features you would like to apply to your site can be submitted directly to the ComplianceKeeper operations team at: or you can use the "Contact Us" link found on the web site in the lower task bar.

Q: How are regulatory changes applied?  How often? 
Answer: See the STATES section for individual State requirements. Updates are performed monthly.

Q: Can we have the names of other mortgage companies using the same package/options that users would be buying as references? 
Answer: We can provide references upon request.

Q: Do you test Disaster Recovery annually? 
Answer: Yes

Q: Are you fully compliant with Sarbanes Oxley requirements? 
Answer: Yes