## Summary

This article explains the specific additional due diligence checks required exclusively for Compliance Officers. It highlights the differences in requirements compared to regular staff.

## Key Requirements

Compliance Officers are subject to stricter due diligence requirements compared to other staff. The following checks are mandatory for this role:

* **Bankruptcy Register Search:** This search must be conducted specifically for Compliance Officers.
* **National Criminal History Check:** A full criminal history check is required.

These checks are in addition to the standard checks required for all staff. The standard checks for all staff include:

* **Verification of Identity**
* **PEPS, Sanctions and Adverse media**

## Detailed Explanation

While regular staff members require identity verification and PEPs screening, the Bankruptcy Register Search and National Criminal History Check are reserved strictly for those in the Compliance Officer role. These additional layers of scrutiny ensure that the individuals responsible for compliance oversight meet the necessary integrity standards.

Due Diligence requirements for Compliance Officers

How to add your AUSTRAC enrolment number

Setting up the AML/CTF Compliance Centre

Navigating the Transactions tab

Governing Body access in the Compliance Centre

Senior Manager or Client-Facing staff access in the Compliance Centre

Understanding the Transactions list

User roles and Viewing permissions

Navigating the Compliance Centre

Uploading your own Firm risk assessment

Completing the Firm Risk Assessment

Uploading an external Policy document

Generate a Policy and Process document

Managing policy and process documents

Policy and Process overview

Performing the Bankruptcy Register search

Performing the Criminal History check

Onboarding a Compliance Officer

Onboarding Governing Body, Senior Manager and Client-facing roles

Managing Staff Onboarding

How to Review Profile Matches from a Screening Check

Understanding Screening Check Statuses

Conducting PEPs, Sanctions, and Adverse Media Checks

Tracking completed Training Modules

How to check Training Status and access your Training Completion Certificate

How to access and complete Training modules

Managing Staff Training

AUSTRAC Reports

Viewing and filtering existing Reliance Agreements

Creating a New Reliance Agreement

Managing Reliance Agreements in the Compliance Centre

Frequently Asked Questions

Getting Started with the Compliance Centre

 Configuring Verification and Compliance Checks for individuals

Sending Onboarding Requests and Accessing the AML Summary for individuals

Completing the individual Risk Assessment and Finalising Onboarding

How to Onboard an Individual

Performing a Verification of Funds Check

How to Escalate a Client to a Compliance Officer

Enhanced Due Diligence and Escalations

How to Finalise Trust Onboardings

How to Complete the AML Risk Assessment for Trusts

How to Onboard a Trust

How to Complete the AML Risk Assessment for Companies

How to Finalise Company Onboardings

How to Onboard a Company

Conducting an Initial Risk Review for Escalations

Resolving or Investigating Escalations Further

Reviewing Escalations as a Compliance Officer

AML Customer Due Diligence

Editing staff details to resolve Staff Onboarding validation errors

Duplicate Users - Practice Management Software Integration

Old Users Appearing in Staff Onboarding

Troubleshooting

Guide

Help Center - Live

Due Diligence requirements for Compliance Officers

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Due Diligence requirements for Compliance Officers

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