Compliance Auditor

This is a fully remote position, open to applicants in Philippines.

📋 Description

• Evaluate insurance applications submitted by Authorised Representatives, including reviewing written communications and call recordings.

• Assess audits performed by the offshore audit team and validate findings against the compliance scorecard.

• Provide feedback and calibration support to ensure consistent audit quality.

• Update scorecards and feedback, finalising and submitting audits within the agreed service levels, ensuring no finalisation task exceeds 10 days.

• Document remediations, follow up on them, and escalate aged or unresolved items with Authorised Representatives.

• Recognize trends and recurring breaches among Authorised Representatives and licences, reporting these to the compliance team and Compliance Committee.

• Mentor Authorised Representatives on a daily basis regarding trends and ad hoc issues, both verbally and in writing.

• Assist in the preparation and presentation of monthly training drop-ins for the internal advice team and the broader Authorised Representative network.

• Examine internal and client-facing documents such as FSGs, scripts, and templates for regulatory accuracy and clarity.

• Contribute to audit reporting, ensure data accuracy, and suggest enhancements to the audit scorecard and process.

• Utilize CRM, 3CX call recordings, SharePoint, and Microsoft 365 in daily tasks.

⛳️ Requirements

• Minimum of 2 years' experience in listening to recorded calls or reviewing customer files and scoring them against compliance, regulatory, or QA scorecards.

• Practical experience in providing written or verbal feedback or coaching based on your own audit or QA findings.

• Excellent attention to detail and the capability to critically listen to calls and evaluate conduct, disclosures, and client outcomes.

• Ability to deliver clear and constructive written feedback that is substantive and promotes improvement.

• Confidence in engaging with Authorised Representatives, including in difficult conversations regarding poor compliance.

• Strong organizational and time management skills.

• RG 146 or a relevant compliance qualification, or a commitment to obtaining one.

• Availability to work Monday to Friday, from 7:00 AM to 4:00 PM PHT.

• Experience in Australian life insurance or financial advice compliance.

• Familiarity with life insurance products and understanding the distinction between general and personal advice.

• Knowledge of specific insurer products such as TAL, Zurich, AIA, ClearView, and NEOS.

• Experience in designing or delivering compliance training.

• Background in building or refining audit scorecards or compliance frameworks.

• Proficient in data and reporting skills, including Excel pivot tables and dashboards.

🏝️ Benefits

• 100% remote work opportunity.

• Full-time, permanent employment in the Philippines with Offshore 24/7.

• Complete work-from-home equipment provided, including a company laptop and all necessary tools for your role.

• HMO coverage effective from Day 1.

• 20 days of paid leave each year, consisting of 15 annual leave days and 5 sick leave days, accruing from Day 1.

• 13th-month pay.

• Government-mandated benefits.

• Annual salary and performance review.

• Comprehensive training and ongoing professional development.

• Regular staff events and team-building activities.

• Genuine job security.

• Continuous training and coaching, with performance reviews at 1, 3, 5, and 12 months.