Compliance Training Resources - GRC Solutions · • outline standard operating procedures for cash management ... • Identify the difference between tax residency and migration

Compliance Training Resources

GRC Solutions Compliance Services for Financial Institutions

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Topics Covered• Introducing money laundering and terrorism financing• Australia’s AML/CTF laws• AML Regulation in Australia• The importance of compliance

Topics Covered• How money is laundered• Terrorism finance process

Topics Covered• Customer due diligence• Special customer types• Sanctions laws• Record keeping

Topics Covered• Ongoing customer due diligence and transaction monitoring• When to carry out enhanced customer due diligence• Keeping KYC information up to date

Topics Covered• Reporting - an overview• Suspicious matter and threshold transaction reporting• International funds transfer instruction reports

AML/CTF Training Module

Module 1: Introducing AML/CTF

Module 2: ML/TF Methodologies

Module 3: Customer due diligence

Module 4: Ongoing customer monitoring

Module 5: Reporting to AUSTRAC

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Topics Covered• define bribery and corruption• explain where bribery can occur• discuss the laws prohibiting the bribery of public officials• explain private sector bribery and false accounting• outline domestic and international regimes penalising bribery

Topics Covered• describe the offence of offering or receiving corrupt benefits• highlight the risks of offering, promising or causing a bribe• distinguish bribes and corrupt benefits from bona fide gifts• explain what to do if you are offered a bribe• outline the consequences of corrupt conduct

Topics Covered• Identify foreign public officials• Explain the offence of foreign bribery• Describe the scope of the foreign bribery offence• Explain the exemptions to foreign bribery• Outline international anti-corruption measures

Topics Covered• explain why bribery risk management is important• describe red flags and bribery risk indicators• outline the key elements of risk management strategy• discuss how foreign bribery can be monitored and reported• explain the offence of failing to prevent bribery

Anti-Bribery and Corruption

Module 1: Introducing bribery and corruption (all employees)

Module 2: Soliciting and receiving bribes (all employees)

Module 3: Working with other countries (employees doing business overseas)

Module 4: Advanced anti-bribery and corruption (managers)

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Topics Covered• identify the potential risks• describe high risk times/activities • recognise the importance of remaining alert • explain what to do during and after a robbery • discuss the importance of handling trauma

Topics Covered• What is the Banking Executive Accountability Regime and its purpose?• How your organisation will be held accountable as a whole• Your organisation’s key personnel obligations• Specific accountable persons’ accountability obligations

Topics Covered• define the crime triangle• explain situational crime prevention • discuss the importance of staff training• outline standard operating procedures for cash management • explain the importance of opening and closing procedures and keeping SOPs on a

need-to-know basis

Topics Covered• In what circumstances is it necessary to communicate with APRA?• Requirements relating to executives’ variable remuneration • Standards of conduct

Module 1: Risk awareness and reduction

Module 1: Introducing the BEAR

Module 2: Risk reduction at a management level

Module 2: BEAR: Reporting, Remuneration and Conduct

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Armed Robbery Awareness

BEAR Essentials Training


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Topics Covered• Define key terms• Show how CRS reduces tax evasion• Identify the difference between tax residency and migration residency • List steps to take when opening an account • Spot changes in tax residency

Introduction to the Common Reporting Standard

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Common Reporting Standard Training

Topics Covered• Why we have a structured complaints-handling process• What we mean by a “complaint”• Who can make a complaint• Dealing with complaints• The complaints process• Timeframes for dealing with complaints• The feedback loop• Unresolved complaints and the role of the EDR Scheme

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Complaints Handling Training Module

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Credit Reporting

Topics Covered• The credit reporting system• Credit reporting bodies • Credit references from other credit providers Target audience: Collections and Lending staff; Recommended for all customer-facing staff

Module 1: Introduction to the Credit Reporting System

15Topics Covered• Sources of information• Procedures for listing a default on a CRB • What is required to list a serious credit infringement on a CRB

Target audience: Collections staff

Module 2: Credit Reporting and Collections

15Topics Covered• Introduction to comprehensive credit reporting• CRB data sets • Participation levels• Credit Score

Target audience: Collections and Lending staff; Recommended for Managers and Team Leaders in customer-facing areas

Module 3: Introduction to Comprehensive Credit Reporting


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Target audience: Managers and Team Leaders in customer-facing areas; Escalation and complaint handling teams

NOTE: See also our Privacy Training.

Module 4: Handling Privacy Complaints

Topics CoveredThis module showcases the Code to general staff, thereby assisting subscribing institutions to meet the COBCOP training requirement. The module focuses on each of the Code’s 10 Key Principles and how these should be put into practice. It includes a number of realistic examples demonstrating the application of the Key Principles in day-to-day situations encountered by staff.

Topics Covered• An overview of the direct debit system.• Dealing with cancellation requests.• Dealing with complaints that a direct debit is unauthorised or irregular.

COBCOP Training

COBCOP Direct Debit Training

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Customer Owned Banking Code Of Practice Training

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Available for purchase separately or is bundled with the Customer Types Training (see previous)This Ready Reckoner provides a table for staff to use when customers are opening new accounts. It outlines the features that indicate what sort of customer they are dealing with.

Ready Reckoner for Types of Entities

Topics CoveredThis series of five computer-based training modules aims to help train frontline staff to recognise different customer types at the time they open an account.The package also includes the Ready Reckoner for Types of Entities - see below

Module 1: Individual Accounts: covering individuals, joint accounts, sole traders, partnership, agents, deceased accounts, children’s accounts and business names

Module 2: Company Accounts: covering proprietary, public and foreign companies

Module 3: Co-operative and Association Accounts: covering registered co-operatives, incorporated associations and unincorporated associations

Module 4: Trust Accounts: covering informal trusts, formal trusts, statutory trusts, professional trusts and trust accounts linked to superannuation and managed investments

Module 5: Government Accounts + Final Quiz: covering Commonwealth, State and Territory governments, including their agencies and authorities, as well as foreign government bodies. At the end of this module there is a quiz that requires participants to draw on the knowledge from all five modules

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Topics Covered• define cyber security• explain how personal responsibility relates to cyber security• identify the security concerns caused by shoulder surfing• describe how malware works• highlight the dangers of social engineering, tailgating and phishing

Topics Covered• identify key strategies for desktop security• describe essential tips on using passwords and encryptions• highlight the cyber security concerns around internet use• explain how to protect work email accounts from cyber-attacks• outline what to do if an incident occurs

Topics Covered• outline the cyber security concerns associated with working remotely• identify ways to protect data stored on mobile devices• highlight the data breaches associated with social media• describe the requirements for collecting credit cardholder data under PCI DSS• explain potential data breaches associated with paying by credit card

Cybersecurity

Module 1: Introduction to cyber security

Module 2: Protecting work information

Module 3: At work, home and offsite

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Topics Covered• define workplace bullying and identify its consequences• distinguish between covert and overt bullying • explain cyberbullying and the different types of accomplices • describe what you should do if you or someone else is bullied by another employee or

manager• outline the Fair Work Commission’s function and processes

Topics Covered• Identify workplace bullying and its consequences• Discuss processes for dealing with workplace bullying• Explain the scope and effect of anti-discrimination laws in Australia• Describe sexual harassment in the workplace• Outline managers’ rights, responsibilities and duties

Topics Covered• Define workplace discrimination• Describe anti-discrimination laws and exceptions to unlawful discrimination• Outline the process for dealing with discrimination• Identify sexual harassment and hostile workplaces• Outline the process for dealing with sexual harassment

Topics Covered• Identify what you need to do in order to deal with a complaint or incident• Explain the importance of proper procedure• Describe managers’ responsibilities with respect to sexual harassment complaints• Outline the procedure for dealing with informal complaints• Outline the procedure for dealing with formal complaints

Module 1: Workplace bullying

Module 3: Bullying, discrimination and sexual harassment (for managers)

Module 2: Discrimination and sexual harassment

Module 4: Dealing with incidents and complaints (for managers)

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Diversity and Equality Training


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Topics Covered• Outline the scope of workplace privacy in relation to resource-usage• Explain what is and is not appropriate use of email• Discuss your safety and security responsibilities• Identify unlawful uses of electronic resources• Highlight principles for responsible personal use of work resources

Module 5: Ethical use of resources

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ePayments Code Training Module Package

Topics Covered• Introducing the ePayments Code • Applying the Code: When a security breach is reported • Applying the Code: In other circumstances

Topics Covered• Terminology• Definition of “mistaken internet payment”• Obligations of Sending ADI• Procedures of Receiving ADI• Other measures addressing mistaken internet payments

Topics Covered• Overview of disputed transactions• Where account holder is not liable• Where account holder has full liability• Where account holder has limited liability

Module 1: Introduction to ePayments

Module 3: Mistaken ePayments

Module 2: Disputed ePayments

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Topics Covered• The attributes of a financial product• Two types of financial service• Some key requirements of the Corporations Act• Who administers the Corporations Act• Other relevant laws and codes of practice that impact on the provision of financial

products and services

Topics Covered• The key characteristics of a basic deposit product• Some common types of basic deposit products• The characteristics of non-cash payment facilities• Some common types of non-cash payment facilities

Topics Covered• A simple definition of advice• The difference between factual information and advice• The two categories of financial advice• How to ensure advice you give is only general advice

Module 1: Regulation of financial services

Module 2: Basic deposit products and non-cash payment facilities

Module 3: Introduction to financial advice

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Topics Covered• What FATCA is• The indicators that show a US link on an account• The steps required when you identify indicators of a US link on an account

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FATCA - US Indicia Training Module

Financial Services Tier 2 Training Module Package


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Topics Covered• Defining fraud• Types of fraud• The risk of fraud to your organisation• Who commits fraud• Consequences of committing fraud

Topics Covered• The elements of the best interests duty• Identifying the subject matter and scope of the advice the customer is seeking• The steps required to identify the customer’s relevant circumstances• Situations where you must warn a customer that advice is based on incomplete or

inaccurate information

Topics Covered• Red flags of internal fraud• Accounts payable frauds• Sales and inventory frauds• Payroll and expense account frauds

Topics Covered• The role of an adviser• How to establish rapport• Applying a range of interpersonal and communication skills• The key things you should know about all financial products• Presenting solutions and dealing with customer objections in an effective, consultative way• Confirming a customer’s agreement to your proposed solution

* The assessment task for this module employs a downloadable workbook.

Module 1: Introduction to fraud

Module 4: Providing personal advice

Module 2: Internal Fraud

Module 5: Advising – Skills and techniques

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Financial Services Tier 2 Training Module Package

Fraud Awareness

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Topics Covered• The dangers external fraud poses to a financial services business• Identifying and responding to the various types of loan fraud• The typologies of online payments fraud• Cheque fraud, card fraud, and fraud issues related to the New Payments Platform• Non-banking types of external fraud

Topics Covered• Defining identity fraud• Common identity theft techniques• Minimise the risk of your identity being stolen• How to protect customers from identity fraud• What to do if identity fraud occurs

Topics Covered• Elements of a fraud risk management framework• Ways to build fraud awareness• Fraud prevention methods• Elements of a fraud detection and reporting program• Elements of a fraud response system

Module 3: External Fraud

Module 4: Identity Fraud

Module 5: Fraud Risk Management

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Topics Covered• The nature and behaviour of risk• Risk Awareness • The risk lifecycle – what we call the Risk Story• The different types of controls and their role in minimising risk• The types of risks usually faced by financial institutions

Topics Covered• The Risk Management process as defined by ISO 31000 • The Risk Management Tools and their practical application to Business Processes

Topics Covered• The aims and objectives of the Risk Management process within an organisation• The key components involved in the Risk Management process• The lifecycle of Risk, this time illustrated by the Risk Funnel chart• The 3 Lines of Defence Model• The various Risk Management Standards and methodologies used globally

Module 1: The nature and types of risk

Module 3: The Risk Management Process

Module 2: Risk Management, Frameworks and Standards

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Fraud Awareness (continued) Introduction to Risk Management

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Topics Covered• What is modern slavery?• How often modern slavery occurs in supply chains• How organisations may be unknowingly involved in modern slavery• How organisations can eliminate their involvement in modern slavery

Topics Covered• Which entities are subject to the Australia-wide modern slavery laws• The scope of the modern slavery reporting requirement• Why organisatons need to prepare modern slavery statements• Material to be included in modern slavery statements

Topics Covered• Where modern slavery occurs in supply chains• The consequences for organisations of modern slavery occurring in their supply chains• The ongoing challenges for organisations where modern slavery occurs in their supply

chains• How the use of modern slavery in supply chains can best be prevented

Module 1: Introduction to the prevention of modern slavery

Module 3: Australia-wide modern slavery laws

Module 2: Preventing the use of modern slavery in supply chains

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Modern slavery

Topics Covered• decide whether a loan is regulated as consumer credit• list the common types of loan products available• outline the general features of loans• how loans can be secured by a mortgage• list common related insurance products

Topics Covered• describe marketing of credit and sale activities• explain Responsible Lending Obligations• discuss credit contracts (both form and content)• describe pre-contractual disclosures• explain the importance of checking borrower understanding and free choice

Topics Covered• describe the sources of consumer lending regulation in Australia• describe ASIC’s role as the credit consumer protection regulator• describe the consequences of non-compliance• describe consumer lending licensing and the general obligations of licensees

Module 1: Key Concepts, Products and Features

Module 3: Forming a Consumer Loan

Module 2: Consumer Lending Regulation Overview

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National Credit Code TrainingCourse 1 - Consumer Lending Regulation Training

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Topics Covered• how a mortgage works• what can a mortgage secure?• the steps involved in taking a mortgage

Topics Covered• the legal disclosures to the proposed guarantor• ensuring guarantor understanding and free choice• execution of the guarantee

Topics Covered• mortgaged property insurance (MPI)• lenders mortgage insurance (LMI)• consumer credit insurance (CCI)

Topics Covered• identify the Responsible Lending Obligation (RLO) to make reasonable inquiries about the

borrower’s requirements and objectives• discuss the RLO to make reasonable inquiries about the borrower’s financial situation• recognise the RLO to take reasonable steps to verify the borrower’s financial situation• explain the RLO to make a suitability assessment• identify your record-keeping obligation

Module 4: Consumer Mortgages

Module 6: Loan Guarantees

Module 5: Credit Related Insurance

Module 7: Responsible Lending

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National Credit Code Training (continued)

Course 1 - Consumer Lending Regulation Training


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National Credit Code Training (continued)

Course 1 - Consumer Lending Regulation Training

Topics Covered• explain the ways in which problem loans can be dealt with in the early stages• outline the financial hardship assistance process• describe the common steps taken to recover an unpaid loan

Topics Covered• explain the procedures for opening a financial hardship assistance application • describe how to evaluate a financial hardship application• generating effective assistance options in a financial hardship case

Topics Covered• describe the legal framework for debt collection• outline the rules for making contact with the borrower• describe the appropriate ways of communicating with the borrower

Module 1: Loans in trouble

Module 3: Handling Financial Hardship Applications

Module 2: Debt Collection Practices

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National Credit Code TrainingCourse 2 - Managing Consumer Loans in Trouble

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PTopics Covered• What information in the Credit Code Key Facts Sheet will help a customer choose the right

credit card?• How the special ‘Responsible Lending’ rules apply to credit cards• Measures that help a customer better manage their credit card

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National Credit Code TrainingCourse 4 - Credit Cards Training

Topics Covered• describe the roles of ASIC and APRA in relation to home lending• explain the effects of inflation on home loans• identify how different stages of the business cycle can impact home loans• list the effects of changes in home loan interest rates

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National Credit Code TrainingCourse 3 - Consumer Lending - The Economic and Market Context


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Topics Covered• The framework of the PPS System• Some common documents used in the PPS System• Some common terms used in the PPS System• How PPS Registration can help a financial institution

Topics Covered• Prior security interests• Common priority rules• Protecting your institution’s priority• Special priority rules for vehicles acquired from a registered dealer

Module 1: Introductory PPS Training

Module 2: Specialist PPS Training

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Personal Property Securities Training Module

Topics Covered• Outline how privacy is regulated in Australia• Explain who and what is protected by the Privacy Law• Describe how to integrate privacy into day to day business of the organisation

Module 1: Overview of Privacy Regulation

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Privacy Training

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Topics Covered• Outline the personal information covered by the Privacy Law• Identify which personal information is reasonably necessary for an organisation’s activities• List some strategies to follow when collecting personal information

Target audience: All customer-facing staff

Topics Covered• Explain the situations where access to personal information must be given and where

access can be refused• Outline how to deal with correction requests• List some practical steps when dealing with access and correction requests

Target audience: Managers and Team Leaders in customer-facing areas; Escalation and complaint handling teams; valuable for all customer-facing staff

Topics Covered• Outline the situations where an organisation can use an individual’s personal information• Outline the situations where an organisation can disclose an individual’s personal

information• Explain how to guard against wrongful disclosure of personal information

Target audience: Managers and Team Leaders in customer-facing areas; Managers in marketing areas; Lending staff; valuable for all customer-facing staff.

Module 2: Collecting Personal Information

Module 4: Access and Correction

Module 3: Dealing with Personal Information (Use and Disclosure)

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Topics Covered• Overview of the aims of the scheme and how it works• Awareness and response – the types of data breach, and investigating them• Notifiable data breaches – the serious harm test• Action to take when a data breach has occurred and ongoing data security

Target audience: Managers and Team Leaders in customer-facing areas; valuable forall customer-facing staff

Topics Covered• The complaints handling system that applies for privacy and credit reporting complaints• The special requirements that apply when dealing with credit reporting complaints• The key principles for handling customer complaints

Target audience: Managers and Team Leaders in customer-facing areas; Escalationand complaint handling teams

Module 5: Mandatory Breach Reporting

Module 6: Handling Privacy Complaints

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Topics Covered• Introduction to the APPs – APP 1, 2• Collection of Personal Information – APP 3, 4, 5• Use and Disclosure of Personal Information – APP 6, 7, 8, 9• Integrity of Personal information – APP 10, 11• Access and Correction – APP 12, 13

Target audience: Additional, optional training for Managers and Team Leaders in all areas;

Module 7: Overview of the Australian Privacy Principles (for Supervisors)

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Privacy Training (continued)

NOTE: See also our Credit Reporting Training.

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Topics Covered• The Definition of Financial Abuse• The vulnerable person and the abuser• How to recognise Financial Abuse• The banker-customer relationship• Duress, undue influence, & unconscionable conduct• Customers’ mental capacity• Issues of privacy and confidentiality• Powers of attorney and guardianship

Topics Covered• The procedure for collecting TFNs• The application of withholding tax where a TFN is not quoted• The TFN and withholding tax rules for special customers

Protecting Vulnerable Customers from Potential Financial Abuse

Tax File Number Training Module

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Topics Covered• Explain what unconscious biases are• Describe the different types of unconscious bias• Identify some of your biases• Outline how to go about mitigating or eliminating your biases

Topics Covered• Outline the elements of an inclusive workplace culture• Explain how to go about calling out bias and react when your biases called out• Identify inclusive ways of working with new and existing members of your team• Describe micro-affirmations and how they can help your organisation

Module 1: Introduction to unconscious bias

Module 2: Managing unconscious bias in your organisation

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Unconscious Bias

Topics Covered• What is whistleblowing and why is it important• Whistleblowing policies• Making a whistleblower disclosure• Emergency and public interest whistleblower disclosures• Investigation of disclosures

Topics Covered• Internal whistleblower disclosures• Whistleblower protections• What happens after a disclosure is made• Fostering a culture of whistleblowing• Effective whistleblowing programs

Module 1: Introduction to whistleblowing

Module 2: Whistleblower protections (for managers and other senior employees)

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Topics Covered• explain how WHS laws affect you and your workplace• identify who has rights and obligations under WHS law• discuss the general rules of WHS duties• outline a PCBU’s duty to consult with workers• describe a PCBU’s duty to consult with other duty holders

Topics Covered• explain what a worker’s duty of care entails• outline how you can manage risk• identify when you are allowed to cease work• describe the various forms of prohibited conduct• outline the three categories of WHS offences

Module 1: Working safely

Module 2: Workers’ rights and obligations

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Work Health and Safety

Topics Covered• explain what a PCBU’s duty of care entails• outline the WHS risk management process• describe how to manage a notifiable workplace incident• identify a PCBU’s obligations in relation to emergencies and first aid, training and the

provision of protective equipment• describe any additional duties in respect of plant, substance or structure activities

Module 3: Duties of PCBUs

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Topics Covered• identify the role of health and safety representatives (HSRs)• identify the powers of HSRs• outline PCBUs’ obligations toward HSRs• identify the role of health and safety committees• discuss the functions of WHS entry permit holders

Module 6: Other parties

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Topics Covered• identify the role and the powers of the regulator• identify the role and the powers of health and safety inspectors• describe the notices an inspector may issue for WHS breaches• explain how enforceable undertakings operate• describe the orders a court can make in response to a WHS breach

Topics Covered• identify the officers of a PCBU• outline officers’ liability for WHS matters• explain officers’ due diligence obligations• describe the elements of an effective WHS system• discuss the penalties for officers for breach of due diligence

Module 4: Compliance and enforcement measures

Module 5: Duties of officers

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Basics of Banking Training Due 2019

Topics Covered• Five key banking regulators • Roles of the regulators

Topics Covered• The mutual banking business• Corporate oversight• Employee oversight• Crime prevention• Privacy protection• Consumer credit laws• Prudential safeguards• Dispute resolution

Module 1: Key regulators of the mutual banking sector

Module 2: The Mutual Banking Business

Topics Covered• Establish the customer relationship• Helping the customer select products and services

Module 3: Customer onboarding


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Published 10 times per year - equivalent to total 10 hours CPD for lending staff

Published 10 times per year - equivalent to total 10 hours CPD for senior managers and directors

Newsletters

The purpose of The Decisive Board is to assist board members of customer owned ADIs to keep abreast of the governance and compliance requirements of their roles. We recommend that successful completion of each edition and its quiz or exercise should count as one hour of CPD for directors and chairs.

Credit News has been designed to assist member organisations ensure their credit representatives meet the CPD requirements set out in ASIC Regulatory Guide 206 Credit licensing: Competence and training.

Decisive BoardEffective Governance for Directors of Customer Owned ADIs

The

CREDIT NEWS

Michael Funston Senior Manager, Legal & Compliance [email protected]

Simo Buzanin Account Manager [email protected]

Tricia Clarke Account Manager (WA/SA) [email protected]

Guy Griffin Senior Lawyer [email protected]

Cypriana Tshai Compliance Adviser [email protected]

Peter Hughes Compliance Adviser [email protected]

Bill Tarrant Product & Events Coordinator [email protected]

Deidre Grover Senior Compliance Training Consultant [email protected]

Nathalie Nuijens Senior Consultant L&D [email protected]

Liam O’Brien Senior Consultant [email protected]

Melanie Toner Account Manager [email protected]

eLearning training

Facilitated & Blended Learning

Custom Course Development

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Compliance Learning Management System (LMS)

Targeted Adaptive eLearning System

A recognised leader in the online

compliance training market.

SydneyLevel 21, 1 York Street Sydney NSW 2000 Australia T: +61 2 8823 4100

MelbourneSuite 212, 838 Collins Street Melbourne VIC 3008 Australia T: +61 3 9012 8532

PerthLevel 1, 191 St Georges Terrace Perth WA 6000 Australia T: +61 8 6230 2096

New York154 Grand Street New York, NY 10013 United States of America T : +1 646 675 8109

BrisbaneLevel 7 Emirates House, 167 Eagle Street Brisbane QLD 4000 Australia T: +61 437 549 786

SingaporeLevel 14-01, 1 Wallich Street Guoco Tower, Singapore 068913 T: +65 6403 3830

grcsolutions.com.au

Compliance Training Resources - GRC Solutions · • outline standard operating procedures for cash management ... • Identify the difference between tax residency and migration

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