Compliance Onboarding Checklist for Insurance
A checklist ensuring all mandatory compliance training, documentation, and acknowledgements are completed during the onboarding of a new employee.
Aligns with ASIC regulatory requirements, General Insurance Code of Practice, and AFSL obligations. Includes audit trail provisions.
Complete Checklist
- 1Verify the employee's right to work in Australia and record the evidenceCritical
- 2Complete the workplace health and safety induction and obtain signed acknowledgementCritical
- 3Provide and explain the code of conduct and obtain signed acknowledgementCritical
- 4Deliver anti-discrimination, bullying, and harassment training
- 5Complete privacy and data handling training
- 6Review the conflict of interest policy and collect any required disclosures
- 7Provide training on the whistleblower policy and reporting channels
- 8Deliver industry-specific compliance training relevant to the roleCritical
- 9Verify and record any professional registrations or mandatory qualifications
- 10Conduct a national police check if required for the role
- 11Obtain a Working with Children Check if applicable
- 12Provide training on record-keeping and document management requirements
- 13Issue the Fair Work Information Statement and relevant Award informationCritical
- 14Ensure all signed acknowledgements and certificates are filed securely
- 15Schedule any compliance training renewals that require periodic refreshers
Frequently Asked Questions
What are the consequences of not completing compliance onboarding?
Failure to complete mandatory compliance onboarding can expose the business to significant legal and financial risk. If an incident occurs and the employee was not properly inducted or trained, the business may face increased liability, regulatory penalties, and difficulty defending any claims. Compliance onboarding should never be deferred or treated as optional.
What compliance training is mandatory for all new employees in Australia?
All new employees must receive a WHS induction, the Fair Work Information Statement, and information about the applicable Modern Award or Enterprise Agreement. Beyond these universal requirements, mandatory training varies by industry and role. Common additions include anti-discrimination training, privacy awareness, and any licencing or certification requirements for the specific position.
How should compliance training completion be tracked?
Maintain a compliance training register that records the employee name, training completed, date, trainer or provider, and next renewal date. Use digital systems where possible to automate reminders for expiring certifications. Include compliance training status as part of the onboarding checklist sign-off and review it during the probation review.
Need help implementing these checks into your daily operations?
Our team can build custom checklists integrated into your daily operations workflow.