Compliance Training Checklist (Employees)
Ensure your real estate team stays legally sound! Download our free Compliance Training Checklist for Employees - covering fair housing, anti-money laundering, ethical conduct & more. Stay compliant & avoid costly penalties. Get yours now!
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Legal & Regulatory Foundations
Core training covering foundational legal and regulatory frameworks relevant to real estate professionals.
Employee Name
Date of Training Completion
Training Module Version Number
Real Estate Law Overview
Contract Law Basics
Property Law Fundamentals
Summary of Key Legal Updates (if any)
Upload Proof of Completion (Certificate/Record)
Fair Housing & Equal Opportunity
Training focused on adhering to Fair Housing laws and ensuring equal opportunity in all real estate transactions.
Review of Federal Fair Housing Act (FHA)
Protected Classes Under Fair Housing Law
Scenario Analysis: Prohibited Practices
Understanding Steering and its Implications
Explain how marketing practices must comply with Fair Housing regulations.
Recognizing and avoiding blockbusting and redlining
Date of last Fair Housing Training Completion
Anti-Money Laundering (AML)
Compliance with regulations designed to prevent money laundering activities within real estate transactions.
Explain the purpose of AML regulations in the context of real estate.
Identify potential red flags for money laundering in real estate transactions.
What is the typical reporting threshold for cash transactions that must be reported (in USD)?
Who is typically responsible for reporting suspicious activity?
Which documents are crucial for verifying the source of funds?
Describe a scenario where you would suspect money laundering and what actions you would take.
Date of last AML training completion.
Data Privacy & Security
Training on protecting client and company data in accordance with privacy regulations (e.g., GDPR, CCPA, state-specific laws).
Confirm understanding of company's data security policy.
Briefly describe how you protect client data from unauthorized access.
Are you familiar with the process for reporting a suspected data breach?
Which data privacy principles do you understand?
Submit screenshot of password management system (if applicable).
Do you use personal devices to access company data?
If you answered 'yes' to the previous question, describe the security measures you have in place on your personal device.
Agency & Brokerage Practices
Specific training related to agency relationships, fiduciary duties, and ethical conduct for real estate agents and brokers.
Understanding of Agency Relationship Types
Describe your understanding of fiduciary duties owed to clients.
When is informed consent *required* before acting as a dual agent?
Explain the process for presenting disclosures to clients regarding agency relationships.
Number of times you've reviewed the company's Agency Disclosure Form.
What is the appropriate course of action if a client refuses to sign an Agency Disclosure Form?
Date last reviewed company's Agency Policy.
Contract Law & Disclosure Requirements
Understanding contract law principles and fulfilling necessary disclosure obligations in real estate transactions.
Understanding of Key Contract Clauses?
Summary of Disclosure Requirements
Familiarity with Agency Disclosure Forms?
Date of Last Contract Review
Examples of Common Contract Errors (and how to avoid them)
Knowledge of Material Fact Disclosures?
State-Specific Real Estate Laws
Training covering laws and regulations unique to the specific state where the employee operates.
Which State's Real Estate Laws Apply?
If 'Other' was selected above, please specify the state.
Completion of State-Mandated Continuing Education (CE)
Date of Last State-Specific CE Completion
Total CE Hours Completed for State Requirements
Summary of Key State-Specific Law Updates (Provided by Broker/Manager)
Understanding of State Disclosure Requirements (e.g., property condition, lead paint)
Upload copy of State Real Estate License (if applicable)
Ethics & Professional Conduct
Reinforcement of ethical guidelines and best practices for maintaining professional integrity.
Describe a situation where you faced an ethical dilemma in your work and how you resolved it.
Which of the following behaviors would be considered a breach of professional ethics?
What is your responsibility when you suspect a colleague is engaging in unethical behavior?
Explain the importance of maintaining client confidentiality.
When representing both the buyer and seller in a transaction, what is the MOST important factor to ensure ethical practice?
Describe your understanding of a 'fiduciary duty' in the context of real estate.
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