Compliance Course in Australia provides the knowledge and skills to promote effective governance and integrity.

Challenges Professionals Face:

  • Developing an appreciation of the compliance responsibilities of various roles and functions
  • Embedding compliance in workplace practices and behaviours through Compliance Course in Australia
  • Recognising and escalating issues effectively and promptly
  • Promoting a culture of compliance as a collective responsibility, rather than a compliance box-ticking exercise
  • Responding to the ever-changing governance landscape within the business by joining Compliance Course in Australia

About This Course

Riverstone’s Compliance Course in Australia offers practical learning into the nature of compliance within organisations, and its relevance in the workplace. The compliance course explores key compliance principles, the role of governance, how to recognise and understand compliance obligations and the attitudes and practices that underpin a strong compliance culture. The course does not focus on industry-specific rules and regulations, but rather equips participants with the knowledge and skills they need to work towards a compliant mindset in any industry or business setting. Delegates gain a strong understanding of their role and have the skills to do the right thing, every time at work.

This Compliance Course in Australia is suitable for professionals at any level and across any function, from frontline staff to team leaders and managers, who want to strengthen their understanding of compliance as it applies to their day-to-day responsibilities. In today’s environment, where regulatory expectations are increasing and the reputational consequences of non-compliance can be significant, building a genuine culture of compliance is no longer something that can be left to a dedicated compliance team alone. By developing a shared sense of accountability and equipping staff with the tools to recognise, manage, and escalate compliance issues effectively, through Compliance Course in Australia, organisations are better positioned to reduce risk, protect their reputation, strategic finance team training and operate with integrity across every level of the business.

Compliance Course in Australia

Business Benefits

  • Create a better awareness and sense of accountability for compliance within the business through Compliance Course in Australia
  • Create a more reliable behaviour pattern to avoid compliance breaches
  • Create awareness of, and engagement in, the compliance process
  • Contribute to the governance and risk management of the organisation

Objectives

  • Apply the meaning of compliance in an organisation
  • Recognise compliance requirements in various roles and business areas
  • Adopt tools and techniques to manage, monitor and escalate compliance issues
  • Understand the behaviours and actions to promote a culture of compliance by joining Compliance Course in Australia
  • Communicate effectively on compliance issues, processes and reporting

Course Content

Module – 1

Introduction to Compliance Risk and Its Relevance to BCOs.

  • What is compliance risk and how it differs from other risks
  • Real-world impacts: legal, reputational, and financial consequences
  • Types of compliance risk (regulatory, operational, AML/KYC, data privacy)
  • Risk appetite and tolerance: what BCOs should know
  • BCOs as the first line of defense in identifying and managing compliance risk

 

Module – 2

Understanding the Regulatory Landscape for BCOs.

  • Overview of MAS regulations: MAS (AML/CFT), FAA, SFA, TRM
  • Other relevant frameworks: GDPR, PDPA, ISO
  • Business unit obligations under MAS Notices and Guidelines
  • How regulations impact business decisions and day-to-day operations
  • Staying updated: tools and methods to track regulatory change

 

Module – 3

 Identifying and Mapping Compliance Risks.

  • Techniques to identify regulatory risk exposures
  • Tools: risk heat maps, compliance matrices, self-assessment checklists
  • Mapping risks to controls and processes
  • Examples from transaction processing, client onboarding, and reporting
  • Linking identified risks to relevant policies or regulations

 

Module – 4

 Role of the BCO in Compliance Monitoring and Control Activities.

  • Core duties: monitoring controls, reporting breaches, training teams
  • Preventive and detective control examples relevant to BCOs
  • Ensuring control effectiveness: documentation and walkthroughs
  • Escalation protocols and thresholds for reporting breaches
  • Supporting internal audit and compliance reviews

 

Module – 5

 Customer Due Diligence (CDD) and Transaction Monitoring Essentials.

  • Basics of CDD: identity verification, beneficial ownership, risk profiling
  • Enhanced Due Diligence (EDD) for high-risk clients
  • Ongoing monitoring and periodic reviews
  • Introduction to transaction monitoring: what to flag and why
  • Role of BCOs in ensuring frontline staff adhere to AML procedures

 

Module – 6

 Promoting Compliance Culture and Ethical Conduct.

  • “Tone at the top” and its influence on daily operations
  • Embedding compliance into KPIs and team values
  • Training and awareness campaigns: best practices for BCOs
  • Encouraging a speak-up culture and safe reporting channels

 

Module – 7

Practical Case Studies and Group Exercises.

  • Interactive scenarios:
    • A gift offer during procurement
    • Skipping approval due to urgency
    • Handling a customer data breach
  • Group discussions on root causes and corrective actions
  • Identification of missed compliance controls
  • Peer reflections and short assessments for knowledge retention

 

Module – 8

Aligning Compliance with Strategic Business Objectives.

  • Aligning compliance with risk management and corporate strategy
  • The cost of non-compliance vs. investment in preventive controls
  • Compliance as a competitive advantage (e.g., client trust, regulatory reputation)
  • BCOs as business enablers—not blockers
  • Final reflections: balancing risk-taking with regulatory boundaries

Course Delivery

Delivered as a public course at various venues in Australia, in-house course at your premises, or as an e-learning course you can do in your own time. The course can be tailored to your team’s time and schedule.

Dates

  • Thursday, September 17, 2026.
  • Thursday, December 10, 2026.