Compliance Officer · Workflow

Reports up to: CFO (Carla Oliver)

Doctrine v1.4 P12 · bottom-up escalation channel · handoffs written to executive_handoffs

Escalate to Carla Oliver

Compliance Officer — Compliance Officer (Phase 2) + Pine Lawyers + AI-assist

I am

the Compliance Officer at Flip360. Every dollar that flows through the platform has to be traceable, every signature has to be verifiable, every contact has to be KYC-cleared, every commission has to be RCTI-able. I keep Flip360 admissible.

I need

a register of every signed Pine Lawyers instrument (Introducer / Client-Referral / Affiliate) with hash anchors, an FASEA Std 7 attestation tracker per MEMBER, a KYC queue, an AUSTRAC red-flag dashboard, the 4-handshake chain integrity report, and a one-click admissibility export for any deal.

So I can

maintain 100% admissibility under Evidence Act 1995, zero AUSTRAC breaches, every RCTI compliant, every member FASEA-attested, every payment Stripe Connect verified.

So that (financial outcome)

Flip360 can answer any regulator, auditor or court within 60 seconds with cryptographic evidence — which is the trust moat the entire valuation rests on.

You are on the New Business lane

Doctrine v1.1 · Two-lane operating model

New Business →

cmo → community-manager → compliance-officer ← you

Retained Business →

customer-success

Shared ·

finance-operator founder pmo-director-cfo cto data-analyst legal people-ops

Your AI colleague · [email protected]

Last action · observe on marcus-webb-2050 (05 July, 11:24 pm)

Contract

My view

What I need to do next

Manager’s view

What my manager sees

AI’s view

What my AI colleague is doing

Good early morning, Compliance-A.

It’s Thursday 9 July, 03:30. I’ve been up ahead of you — here’s what I’m seeing.

Today’s priority tasks

Ranked by downstream impact, not inbox order. If you only did these three, today would be a win.

Chase a provider for a missing artefact

Downstream impact: Every chased artefact = one activation day recovered

Scan all wizards past step 6 for artefact gaps

Downstream impact: Every day a file lingers incomplete = a day of ARR not clocking

Scan for insurance certificates expiring in 30d

Downstream impact: Expired insurance = platform-level exposure and provider offline overnight

Here’s what I’ve already done for you this morning

My 1, 2, 3 — all held for your tap where a send goes to a human.

observe on marcus-webb-2050

draft on marcus-webb-insurance-chase

flag on anna-liu-2041

reconcile on wk27-cohort-greenness

What only you can do — you do human-with-human best

Your 4, 5, 6 for today. These are the moves that convert.

tap send on drafted chase — Tap send / edit voice / call the provider yourself

review gap list — Prioritise which providers need human attention today

review + prioritise — Decide which providers get a proactive chase now vs closer to expiry

Why this matters to your team

You’re not alone — your OUTPUT is somebody’s INPUT. Here’s who benefits when you land these.

When you land Chase a provider for a missing artefact well, community-manager gets a clean input. Every chased artefact = one activation day recovered

When you land Scan all wizards past step 6 for artefact gaps well, community-manager gets a clean input. Every day a file lingers incomplete = a day of ARR not clocking

You’ve got this. I’m right here — tap anything above and I’ll help you finish it. · 4 more tasks queued below.

Blockages — unblock first, then work the queue

3 blocked

AI has already pinged the receiving role. You may need to escalate.

blocked at legal

anna-liu-2041

Reason: Awaiting Legal read on identity documents · Held for Legal review before activation proceeds

overdue 2d

blocked at compliance-officer

af1-cma-marcus-webb

Reason: awaiting_compliance_response · Marcus stalled at consent step. Needs compliance clarification on ABN verification prior. · stalled 4d

overdue 5d

blocked at pmo-director-cfo

risk-r-204-past-sla

BLOCKED — awaiting Compliance response to chase

overdue 9d

INPUT — what arrived in your patch

Handoffs routed to you from other roles. AI has scanned each one and noted patterns.

2 pending

from legal

nsw-consumer-affairs-price-transparency-2026

legal · warmth: — · Legal AI flagged NSW price transparency update; awaiting Compliance impact assessment

overdue 1d

from community-manager

kate-singh

community-manager · warmth: — · All 4 artefacts submitted; wizard 8/8

overdue 3d

PROCESS — the gate work today

Chase paperwork · Identity + risk · Expiry watch. AI drafts held for your tap; risky calls held for your eyes.

Chase paperwork

3 items

Low-risk gaps — AI has drafted warm chases. Tap send or edit the voice first.

Marcus Webb (2050) — insurance certificate missing, 4d idle

AI drafted a warm chase SMS with one-click upload link. Rest of file clean; just one artefact away from green.

Tap send

AI draft

Priya Nair (2060) — ABN document blurry, needs re-upload

AI drafted a friendly "hey we couldn't quite read the ABN — one more scan please?" — no tone-alarm needed.

Tap send

James Kelly (2141) — Rule 4 consent wording out of date

AI updated the consent capture template. Kelly just needs to re-consent with new wording (30 seconds).

Tap send

Identity + risk investigations

2 items

Held for your eyes — real judgement calls the AI cannot make.

today

Anna Liu (2041) — name mismatches across artefacts

WWCC 'Anna Yun-Ling Liu', ABN 'Anna Liu', police check 'A. Y. L. Liu'. AI reads: likely legit Chinese-Australian naming convention. Quick provider call to confirm.

Make the call

AI flag

Referral dispute — customer alleges service not delivered

AI drafted dispute summary + 3 resolution paths. Human judgement needed on which is fair to both parties.

Investigate

Expiry watch

2 items

Proactive renewal chases — a heads-up beats a lockout.

today

4 insurance certs expiring within 30 days

AI queued warm renewal chases. Tap send to release all four at once.

Tap send batch

today

2 WWCCs expiring within 60 days

Both providers work in children-adjacent service types. WWCC lapse = provider legally cannot work — high stakes if missed.

Tap send batch

OUTPUT — what you delivered downstream

Handoffs you emitted to the next role. AI reconciles against expected input at the receiving end.

1 in flight

to finance-operator

jack-diaz

Fully green file; billing-ready

— overdue 3d

What good looks like

Compliance Officer opens dashboard. 0 AUSTRAC flags. 2 KYC in queue, both within SLA. All 12 active MEMBERs FASEA-current. 8 trust instruments signed this week, all hash-anchored. Chain integrity 100%.

What bad looks like

Compliance is a spreadsheet someone updates monthly. Instruments live in Dropbox. KYC takes 2 weeks. FASEA lapses missed. Regulator can't be answered in 60 seconds; takes 60 hours.