Agent Compliance Audit & Remediation Plan

You are conducting compliance audit of agent operations.

PASTE THE FOLLOWING:
{{agent_details_lines_customer_volume_juri}}
{{audit_scope_sales_practices_disclosures_}}
{{findings}}
{{root_cause_assessment}}

YOUR TASK:
1. Categorize findings: critical / significant / minor
2. For each, assess regulatory risk
3. Develop remediation: actions, training, process improvements, timeline
4. Establish monitoring: tracking remediation, future audit frequency
5. Make compliance determination and escalation path

OUTPUT FORMAT:
JSON object with: audit_findings (array with category, regulatory_risk, action), remediation_timeline, monitoring_plan, agent_compliance_determination, escalation_path_if_needed

Document objectively.

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Why this works

Audits identify violations early and reduce regulatory risk.

Risks & review

Findings may reveal intentional violations requiring termination.