Broker as Compliance Officer: Auditing the Activities of Your Licensees

Overview

This course helps Georgia brokers shine a light on compliance issues by offering practical, real-world strategies for supervising a brokerage with intention—no recycled license law here. Participants will learn how to build systems that proactively illuminate risk, prevent violations, and correct issues before they become liabilities. The course also explores the use of policy manuals, contract audits, internal investigations, and social media supervision to catch small errors before they turn into costly fines, foster a culture of compliance rather than chaos, supervise effectively without micromanaging, and consistently enforce rules.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Learning Objectives

  • Explain a Georgia broker’s supervisory responsibilities and evaluate how liability may arise from a licensee’s actions
  • Develop a policy manual and an internal audit plan that proactively support broker supervision and compliance monitoring
  • Assess licensee advertising practices to ensure compliance with Georgia license law and fair housing standards
  • Identify common red flags in contracts and disclosures and construct a system to regularly review licensee transactions
  • Implement an internal investigation process that balances fairness, legal risk management, and timely resolution
  • Apply consistent enforcement strategies to policy violations, using documentation and progressive discipline to manage risk 


Designed For:

Georgia Real Estate Brokers 




Course Information

Adding additional credit may change exam requirements.