## Summary

This article details the process for Governing Bodies to onboard a Compliance Officer. While the process is similar to standard staff onboarding, it includes additional, stricter due diligence checks.

## When to Use This

Use this article specifically when the staff member being onboarded holds the role of **Compliance Officer**.

## Key Points

Onboarding a Compliance Officer is restricted to users acting as a Governing Body.  If you are a sole practitioner or haven't assigned a Governing Body yet, you'll need to designate someone (like a Director or Partner) with that role first so they can onboard you. Once you are onboarded as the Compliance Officer, you'll then have the authority to onboard other staff members, including Senior Managers and Client-Facing 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 Personal Due Diligence (PDD) checks required for all staff. The standard checks for all staff include:

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

## Step-by-Step Instructions

### To order the mandatory screening checks


1. From the **Staff onboarding** dashboard, find the staff member you wish to onboard and click the **Onboard** button in their row.   ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=9f77894b-e876-4a0d-b162-7aa9804350bd " =1803x376")
2. You will be taken to their individual onboarding page. At the top, you can review their contact details and assigned **Roles**.
3. If the role was not assigned when [Setting up the Compliance Centre](https://infotrack-australia.brainfish.ai/en-us/articles/setting-up-the-amlctf-compliance-centre-3AGXfQK54r?region=AU), click **Assign Roles,** tick **Compliance officer** and then click **Confirm**.

   *Tip:  You can have more than one Compliance Officer.*   ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=4ae28460-0db3-48dd-a7e2-8aca8f4840f2 " =1020x141")
4. To change their roles, click the **Edit** (pencil) icon and select or deselect the relevant roles and then click **Confirm**.   ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=3b7a2e09-ce59-4451-8f7c-f1d6c454d7a3 " =1004x77")
5. Ensure the mobile number and email address details are completed.
6. From the **Personnel Due Diligence (PDD)** section, Verification of Identity and PEPS, Sanctions and Adverse media, will be selected by default.
7. Click **Order** to send the VOI request to the Compliance Officer for completion. The PEPs, Sanctions and Adverse media will be ordered and results returned.
8. For Compliance Officers you must complete the **Criminal History Check** and **Bankruptcy Register Search.** You can either click the button to order the checks from InfoTrack or triSearch, or click **Upload** to provide a document you've already obtained.   ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=529a0b16-d271-4a98-9664-18101b3a6427 " =1107x609")

### To upload an existing document to a PDD checklist item

Use these steps when a PDD task (for example, **Criminal history check**) requires you to attach evidence you already have.


1. On the staff member's PDD checklist, identify the item that requires a file upload.
2. Click the **Upload** button located to the right of the item.
3. In the dialog box that appears, either:
   * drag and drop your file into the window, or
   * click **browse files** to select it from your computer.
4. After the file appears in the dialog box, click **Complete** to upload it.
5. The checklist will update, and the status of the item will change to **COMPLETED**.

### Other documentation

#### Complete the Suitability checklist

The **Suitability checklist** is a key part of the personnel due diligence (PDD) process. Completing it is a formal declaration that the staff member has been assessed and is considered suitable for their role based on integrity, skills, and other established criteria.


1. On the staff member's **Personnel Due Diligence (PDD)** page, find the **Suitability checklist** item.
2. Click the **Complete** button associated with the checklist.
3. A pop-up window will appear with questions/statements to help determine whether the staff member meets the required standards.
4. Read each item carefully and tick the checkboxes for the statements that apply (for example confirming the staff member is reliable and has the relevant skills).
5. Click **Complete** in the pop-up window.
6. The checklist item will update and be marked as **COMPLETED** on the PDD page.

#### Optional tasks

Complete any optional tasks such as:


1. uploading a **Conveyancing or settlement agent license**; or
2. uploading a **Statutory Declaration**.

### Onboarding completed


1. Once all mandatory checks show a **Completed** status with a green tick, click the **Onboard** button.   ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=a9db14eb-a38d-4bdf-b806-7f43ee352292 " =752x443")
2. A blue **Notify AUSTRAC** box will appear. Once you have submitted the Compliance Officer details directly to AUSTRAC, return to this screen to enter the **Date AUSTRAC notified** and **Name of person submitting notification** details and then click **Complete**.   ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=c7e8dd3c-1b2c-4911-a0eb-b7aec6c9705e " =715x195")
3. A green **AUSTRAC has been notified** message will be displayed.   ![](https://infotrack-australia.brainfish.ai/api/attachments.redirect?id=94cd2dd6-ad4d-4f68-9536-afaa70cb7752 " =709x164")
4. The **Onboarded** status of the Compliance Officer will be updated to **Completed** on the Staff Onboarding dashboard.




Onboarding a Compliance Officer

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

Due Diligence requirements for Compliance Officers

Performing the Bankruptcy Register search

Performing the Criminal History check

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

Onboarding a Compliance Officer

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Due Diligence requirements for Compliance Officers

Performing the Bankruptcy Register search

Performing the Criminal History check

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Onboarding a Compliance Officer

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Due Diligence requirements for Compliance Officers

Performing the Bankruptcy Register search

Performing the Criminal History check

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