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    Compliance Dashboard
    Compliance Dashboard

    Compliance Dashboard

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    Compliance Dashboard

    View compliance allegation details and analytics all in one place.

    Overview

    Stay up to date with any compliance allegations via the Compliance Dashboard. Agents and agencies can have full understanding on the compliance status in partnership with carriers to avoid any repercussions. The Compliance Dashboard will surface allegation analytics and detailed information for both agents and agencies!

    Compliance Reports via Agency View

    • Get access to all compliance reports across your agency
    • View allegations and the current status throughout your agency, too

    Compliance Reports via Agent View

    • View specific compliance allegations associated with you.
    • Receive in-depth breakdowns, case statuses, and more!
    ‣

    Understanding your Compliance Allegation Status

    • Open - case has been opened by the carrier due to a complaint
    • Agent Response Request - The carrier has requested a response from the agent and Spark is waiting for that response. Will have a due date
    • Agent Response Received - Spark has received a response and sent to the carrier, waiting for the carrier to investigate
    • More Information Requested - The carrier is requesting additional information after receiving the initial response from the agent. Will have a due date.
    • Module Assigned - The carrier has assigned an educational module to be completed by the agent on the carrier broker portal. Will have a due date.
    • Attestation Needed - The carrier has issued a notice for the agent to read and attest that they have read it, understand it, and agree to abide by it. Will have a due date.
    • Remedial Action Form - General term for a Corrective Action form issued by the carrier. The remedial action could be agent coaching, verbal or written warning, module assigned, termination. Will have a due date.
    • Escalations - Compliance will Escalate any cases that Founders need to know about.
    • Coaching Required - The carrier is requiring either Spark or Upline to coach the agent about the allegations. Spark schedules and conducts coaching sessions with the agent. Form will have a due date.
    • Coaching Completed - Agent coaching has been completed, waiting for the agent to sign the coaching form.
    • Awaiting Carrier Information - Waiting for Carrier to make a determination on case, or close the case.
    • Closed - All requirements have been completed and the Carrier has closed the case.
    • Withdrawn - Client withdrew the complaint with the carrier, no further action needed by agent.
    • Duplicate - Same case entered twice.

    FAQs

    Who can I reach out to if I have any questions or issues with the dashboard data?

    Agents can email the Compliance team at compliance@sparkadvisors.com.

    Where can I find documents related to a compliance allegation case?

    We currently cannot store case documents in the dashboard. For any specific documents related to an open case, please reach out to compliance@sparkadvisors.com.

    • Compliance Dashboard
    • Overview
    • Compliance Reports via Agency View
    • Compliance Reports via Agent View
    • Understanding your Compliance Allegation Status
    • FAQs