Producer Licensing and Onboarding
Producer onboarding before first sale: license verification on state DOI (or SUSEP/Funenseg in Brazil), E&O insurance confirmation, NAIC continuing education status, carrier appointments, AML/PLDFT training completion, compliance officer sign-off, and CRM/AMS provisioning. Built for operations teams, structured execution with approval gates and an audit trail.
For: Compliance Coordinator, Operations Manager, Compliance Officer, and Sales Director teams running producer licensing and onboarding
What this template includes
Process steps
- 1Verify active producer license on regulator portal
- 2Collect E&O (Errors and Omissions) insurance certificate
- 3Continuing education and certification verification
- 4Carrier appointments and contracting
- 5Mandatory AML/PLDFT training completion
- 6Code of Conduct and conflict-of-interest disclosure signed
- 7Checkpoint 1, Compliance officer sign-off
- 8CRM and agency management system provisioning
- 9Checkpoint 2, Sales director releases producer to operate
Why teams use this template
Producer onboarding before first sale: license verification on state DOI (or SUSEP/Funenseg in Brazil), E&O insurance confirmation, NAIC continuing education status, carrier appointments, AML/PLDFT training completion, compliance officer sign-off, and CRM/AMS provisioning. When this work runs through inboxes and ad-hoc spreadsheets, ownership gets fuzzy and evidence gets lost. Producer Licensing and Onboarding gives you a 9-step process with 2 checkpoints and a built-in SLA so nothing slips between handoffs.
Built for teams led by Compliance Coordinator, Operations Manager, Compliance Officer, and Sales Director: every task has a named owner, every approval routes to a real role, and the run history is the audit trail your auditors actually want.
The checkpoint tasks ("Checkpoint 1, Compliance officer sign-off" and "Checkpoint 2, Sales director releases producer to operate") cannot be skipped, they're where the run produces evidence the next stage depends on. Overdue runs escalate automatically, and you start with structure instead of building it from scratch every time.
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