How to create a defensible compliance program at your dealership
Step 1: Training
As we all know, neither ignorance nor negligence is an excuse in the eyes of the law. That's why the first step to any good compliance program is giving every employee the knowledge to effectively perform their duties in a way that protects your store. Training should provide ongoing, contextual education on the regulations relevant to their role and guidance on how to implement optimized practices. And, by ensuring every employee is regularly trained, the dealership can establish a track record of compliance that can be used for its defense in court should the need arise.
Step 2: Policies
The right policy helps protect your employees and your dealership. Compliance policies are often federally required such as the Information Security Program is required under the Safeguards Rule. Even when not mandated, having a clear policy that is read and signed by all relevant employees is good for your business. It allows your dealership to set its standard for right and wrong, and provide a universal reference point for the entire staff. If a rogue act occurs outside of its framework, the dealership can leverage the policy for corrective action or its defense in court if necessary.
Step 3: Operations
The next step is to ensure your store has the infrastructure to maintain compliance over time. From ensuring you have 24/7 cybersecurity Safeguards like continuous monitoring (EDR), to properly securing or destroying sensitive files, it's important to have ongoing processes that reflect your policies. The most successful dealerships have also established a culture of compliance that is engrained into their employees and daily operations.
Step 4: Audits
The final part of any compliance program should include third-party professional audits. A good audit should include everything from a store walkthrough to evaluating an appropriate number of deals. A well-conducted audit will help your store uncover potentially costly areas of risk, and empower you with expert guidance on how to mitigate them. By proactively implementing unbiased internal audits, dealers can rest assured that revenue is protected and hard work has been verified as acceptable. While no audit is perfect, implementing a regular cadence of audits, whether annual or quarterly, is the best way to solidify your compliance efficacy and ensure a legally defensible track record of compliance. This is exactly the kind of company clients want to do business with.
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Compliance requirements and best practices
Training ensures every employee knows what's required based on their role
Some of our recommended training for dealerships:
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For over 18 years, Mosaic's legal team has been creating dealership-specific compliance content, training, resources, and services to meet your needs. We support dealers and their partners across the automotive, power sport, marine, motorcycle, and RV industries.
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What our dealers are saying...
"Harley-Davidson of Florida has been with Mosaic Compliance Services for over 10 years now. Their web-based compliance training is easy to access, effortless to use and monitor, and provides our team members with an active role in creating and maintaining a productive, ethical, and respectful workplace."
Gary, Executive Manager
"Our group was looking for a comprehensive compliance program that was simple to use and understand. Mosaic Compliance Services has a training program that was exactly what we needed. They work closelywith you to get the program tailored for your group and ongoing support is fantastic!We highly recommend Mosaic to any automotive dealer looking for an online compliance program."
Wendy, VP of Finance
"We’ve been using Mosaic Compliance for a few years now and have found it to be very beneficial. It’s an excellent tool for being compliant with multiple stores, with several associates, at different levels. The system allowed us to choose which level each associate is required to take without them taking courses that weren’t the right fit. They were able to design the courses and curriculum for what our company’s needs and wants were. It’s an extremely easy-to-use program. They are very friendly and always there to help us."
Crystal, Dealership Director
Discover Mosaic's compliance solutions
Compliance Training
Winner of the Dealer's Choice Diamond Award 2015-2023.
With Mosaic training, you get:
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Role-based compliance training built by industry attorneys
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Fully managed setup and support from a compliance advisor
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Video-based training tailored to the dealership environment
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Available as compliance bundles, courses, or certifications
