Navigating the Compliance Centre

Summary

The Compliance Centre utilises a tabbed interface to organise different compliance management functions. This structure allows users to access specific areas such as risk assessments, policies, and transaction monitoring efficiently. By consistently monitoring the key sections of the Compliance Centre, organization administrators can ensure that all internal policies, staff onboarding workflows, and mandatory training modules remain fully up to date and in line with regulatory requirements.

Overview

The Compliance Centre is designed to centralise various anti-money laundering and counter-terrorism financing (AML/CTF) activities. Once logged in, you will be directed to the Compliance Centre dashboard. Begin at the main dashboard of the Compliance Centre, then use the top navigation bar to move between the different sections. To facilitate easy navigation, the interface divides these activities into distinct sections accessible via a row of tabs at the top of the page.

The Compliance Officer will have unlimited access and permissions in the Compliance Centre.

Available Sections

As displayed in the interface, the main navigation tabs include:

• Transactions: For monitoring onboarding status, viewing outstanding checks, and viewing transaction summaries and details. This includes totals for completed assessments and in-progress transactions, plus counts for pending client actions, high-risk clients, and escalated cases. The default tab is Transactions, which displays the Transaction Summary panel showing overall activity (for example total transactions, clients with pending actions, and high-risk clients) and the Your transactions section below it, which displays client names, transaction types (such as Individual), number of checks completed, risk ratings, latest activity dates, and pending actions.

• Firm risk assessment: For starting or reviewing the business's risk assessment. Use this section to define and review, and download your organisation's risk profile. This includes designated services, business vulnerabilities, client demographics, inherent risk factors, and mitigation steps relevant to your industry.

• Policy and process: Create, update, and manage, and download your customized AML/CTF policy and process documents based on organisational size and compliance profiles.

• Staff onboarding *This tab is only visible to the Compliance Officer and Governing Body roles: This section shows a list of staff members, their roles, and their current training and onboarding status. You can also initiate onboarding, dispatch identity verification or compliance requests to personnel, and conduct necessary due diligence checks for new staff from here.

• Training: Access to and management of the available compliance training modules for staff to track and monitor regulatory compliance. These modules include interactive quizzes to test understanding, and allow you to view completed modules, check completion dates, and verify and download official training completion certificates.

• AUSTRAC reports: View scheduled regulatory filings, and generate and manage AUSTRAC reports (under development).

• Reliance agreements: Set up and manage reliance agreements between legal representatives or agents to facilitate shared compliance responsibilities.

Additional Settings

• Recording your firm’s AUSTRAC number: Click on the Add AUSTRAC No. at the top right of the menu. Enter your organisation's unique registration number in the provided field and click Save to keep your firm's compliance record up to date.
• Accessing user settings: Click on your profile icon in the top-right corner to access Settings, Account, Edit Details, Price List, Reporting, or to change your password.
• Interactive guided tours: When navigating the platform, use the built-in guided tours (such as the "Staff onboarding" tour) to learn how to utilise each tab's specialised features. Click Next to step through the onboarding guidance or Skip to close the helper window.