INSURANCE AGENT ONBOARDING CHECKLIST

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--- APPLICATION & BACKGROUND CHECKS ---
[ ] Application ID
[ ] Application Submission Date
[ ] Application Source (Online, Paper, Referral)
[ ] Application Form (Scanned)
[ ] Background Check Type (Criminal Record, MVR (Motor Vehicle Record), Credit Check)
[ ] Background Check Start Date
[ ] Notes/Comments on Application

--- LICENSING & CREDENTIALS ---
[ ] License Number
[ ] License Issue Date
[ ] License Expiration Date
[ ] License Status (Active, Inactive, Pending, Suspended)
[ ] Lines of Authority (Life, Health, Property, Casualty, Variable)
[ ] Copy of License

--- COMPLIANCE TRAINING ---
[ ] Training Completion Date
[ ] Ethics Training Module (Module 1 - Code of Conduct, Module 2 - Conflicts of Interest, Module 2 - Data Privacy)
[ ] Regulatory Updates Training (2023 Updates, 2024 Q1 Updates)
[ ] Summary of Key Takeaways
[ ] Training Score (%)
[ ] Topics Covered (Anti-Money Laundering, Fair Lending Practices, Consumer Protection Laws)

--- CONTRACT & AGREEMENTS ---
[ ] Agent Name
[ ] Agency Name
[ ] Contract Start Date
[ ] Contract End Date
[ ] Commission Rate (%)
[ ] Contract Type (Independent Agent Agreement, Captive Agent Agreement, Referral Agreement)
[ ] Special Contract Terms/Clauses
[ ] Agent Signature
[ ] Agency Representative Signature

--- SYSTEM ACCESS & IT SETUP ---
[ ] CRM Access Level (Read Only, Limited Edit, Full Edit)
[ ] Policy Administration System Access (Read Only, Limited Edit, Full Edit)
[ ] Two-Factor Authentication Code Generation Limit (attempts)
[ ] System Access Start Date
[ ] IT Support Ticket Notes (if applicable)
[ ] Screenshot of Initial System Login Confirmation

--- PRODUCT & POLICY TRAINING ---
[ ] Overview of Key Product Lines
[ ] Which Product Lines are you Authorized to Sell? (Auto Insurance, Homeowners Insurance, Life Insurance, Commercial Property, Workers' Compensation)
[ ] Explanation of Policy Features & Benefits (Auto Insurance)
[ ] Number of policy examples reviewed
[ ] Which best describes your understanding of policy exclusions? (Excellent, Good, Fair, Needs Improvement)
[ ] Summary of Claims Process for each product

--- COMPLIANCE & DISCLOSURE REVIEW ---
[ ] Review Client Communication Templates
[ ] Confirm Disclosure Forms Provided to Clients? (Yes, No, Not Applicable)
[ ] Which Compliance Areas Reviewed? (Privacy Policy, Terms & Conditions, Conflict of Interest Disclosure, Rate Transparency, Advertising Guidelines)
[ ] Date of Compliance Review
[ ] Reviewer Signature
[ ] Document Version Reviewed

--- MARKETING & ADVERTISING APPROVAL ---
[ ] Campaign Description
[ ] Marketing Materials (PDF, Images, Video)
[ ] Channels Used (e.g., Social Media, Email, Print) (Social Media, Email, Print, Website, Other)
[ ] Compliance Review Status (Pending Review, Approved, Rejected, Needs Revision)
[ ] Reviewer Comments (if applicable)
[ ] Approval Date

--- ONGOING MONITORING & SUPPORT ---
[ ] Last Compliance Training Review Date
[ ] Number of Client Complaints Received (Past 6 Months)
[ ] Recent Audit Findings (If Applicable) (None, Minor, Moderate, Significant)
[ ] Topics Covered in Recent Support Calls (Policy Updates, System Issues, Sales Strategy, Compliance Questions, Other)
[ ] Summary of Recent Agent Performance Review

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