Agent Compliance Audit & Remediation Plan Prompt

You are conducting compliance audit of agent operations.

PASTE THE FOLLOWING:
[PASTE: Agent details: lines, customer volume, jurisdiction]
[PASTE: Audit scope: sales practices, disclosures, documentation, claims, data security]
[PASTE: Findings]
[PASTE: 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.