Description

A focused course, tailored for you

Compliance Coaching: Behavioral Evidence by Design

Design compliance training programs that change behavior and produce the evidence your regulator actually wants to see.

Your training completion dashboard is full of greens. But conduct risk exceptions keep coming from the same business units. Something about your training program is not changing the behavior it is designed to change, and your APRA examiner is going to ask about it.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

A compliance training program that measures completion rates and assessment pass rates is one that satisfies the letter of the obligation, not the spirit. The obligation asks for a trained workforce. The regulator wants to see evidence that training changed how people make decisions, not just evidence that they sat through a module.

The gap is a design problem. Most compliance training is built around content topics, not behavioral outcomes. When the examiner asks to see your evidence file, what they are looking for is a chain from obligation to competency to learning objective to assessment to behavioral record. Most programs can show the first link and the last. The middle three are missing.

A Compliance and Development Coach working inside a large regulated institution has the access and the credibility to close this gap, but only with a clear methodology. That methodology is what this course delivers.

What you walk away with

Build a competency framework that maps training to specific APRA and ASIC obligations by role tier.
Write behavioral learning objectives that regulators can examine and verify against observable actions.
Design scenario-based assessments that test judgment under competing obligations, not recall of the rule.
Construct an evidence file that tells a clear story from training entry to behavioral outcome.
Run coaching conversations with line managers that produce a behavioral record, not just a coaching note.

The 12 modules

Module 1. The Regulatory Competency Map

Most compliance training programs organize content by topic: AML, conduct, data privacy. Regulators ask about role-based competency: can this person make the right judgment when the rule does not cover the situation? This module builds a competency framework that maps to your actual APRA and ASIC obligations by role tier, from frontline adviser to team leader to business head, using the obligation texts as the anchoring documents.

Module 2. Training Needs Analysis for Regulated Environments

A training needs analysis that regulators accept is not a survey. It is a structured gap analysis between current demonstrated behavior and the behavioral standard each obligation requires. This module builds the methodology: how to identify obligation-to-behavior chains, how to interview business stakeholders to surface genuine gaps without surfacing liability, and how to document the analysis so it holds under examination.

Module 3. Writing Behavioral Objectives That Commit to Change

Learning objectives that begin with 'participants will understand' cannot be measured and will not satisfy an examiner. This module teaches the behavioral objective format: what specific decision or action the learner will take differently, in what context, at what frequency. You will rewrite five existing objectives from your current program as part of the applied exercise, converting knowledge statements to behavioral commitments.

Module 4. Instructional Design for Compliance Adults

Compliance adults already know the rule. What they often do not do is apply it when the incentive structure points the other way. Adult learning in this context requires scenario design that surfaces the moment of decision under pressure, not content delivery followed by comprehension questions. This module covers scenario construction, role-play design, and case study development specific to financial services conduct risk situations.

Module 5. The Coaching Conversation for Conduct Risk

This module focuses on the specific coaching skill needed when a line manager understands the rule but is not modelling it for their team. The framework is the behavior-impact-expectation-accountability conversation: how to open it, how to document it, and how to close it in a way that creates a behavioral record rather than a note in a file. Includes the language patterns that make the conversation land.

Module 6. Assessment Design That Examiners Can Review

If your compliance assessment only tests recall of the rule, it tests the wrong thing. This module covers scenario-based assessment design: writing case studies where the right answer requires the learner to weigh competing obligations, as they would in a real customer or internal situation. It includes worked examples of assessments that have been presented to Australian financial services regulators and the commentary that accompanied them.

Module 7. Building the Evidence File

When your APRA or ASIC examiner asks to see evidence of a trained workforce, completion records are a starting point, not an endpoint. This module defines the evidence file: what artifacts demonstrate behavioral change, including coaching records, scenario assessment results, manager attestations, and exception trend data. It covers how to organize them so the regulator can read a clear story from training entry to behavioral outcome.

Module 8. Coaching Business Heads to Make Compliance Visible

The compliance culture in a business unit is set by how the business head talks about it in team meetings, not by how many training modules their team has completed. This module covers the coaching approach for working with senior leaders: how to use their existing language and business priorities as the entry point, and how to make compliance visible in daily decision-making without framing it as a compliance conversation.

Module 9. Measuring Training Effectiveness in Regulated Environments

Satisfaction ratings are the wrong metric. This module applies the four-level evaluation model to compliance training specifically: satisfaction, demonstrated learning in assessment, behavioral transfer on the floor, and results in reduced exceptions and complaints. It covers how to design measurement into the training program before delivery rather than as a retrospective add-on, and how to report the results to a board risk committee.

Module 10. Regulatory Examination Prep for Your Training Program

APRA and ASIC examiners follow a predictable review pathway for training programs: is the obligation mapped to the role, is the objective behavioral, is the assessment scenario-based, is the evidence file complete and dated. This module walks through each question, what a strong answer looks like, and how to identify gaps in your current program before the examiner does, using a pre-examination audit checklist.

Module 11. Developing Internal Compliance Coaches

Centralized compliance coaching does not scale across a large institution. To embed compliance capability in every business line, you need managers who can coach their own teams on regulatory obligations. This module covers selection criteria for internal coaches, the coaching skills training they need, the observation and feedback process, and the quality assurance mechanism that keeps their coaching consistent with regulatory expectations.

Module 12. The Annual Compliance Competency Review

The compliance competency review is the governance mechanism that closes the loop: who has demonstrated what, who still has gaps, what training needs to be redesigned, and what needs to go to the board risk committee as a standing exposure. This module builds the annual review cycle, the reporting template, and the escalation pathway that connects individual competency data to organizational risk governance and regulatory reporting.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

Board risk committee has asked for training effectiveness evidence: start with Modules 7, 9, and 10.

Recurring exceptions from staff who passed their compliance training: start with Modules 3, 4, and 5.

APRA or ASIC examination scheduled and training program needs to be examination-ready: start with Modules 10, 7, and 2.

Competency framework exists but is not mapped to specific regulatory obligations by role tier: start with Modules 1, 2, and 11.

What you get with this course

12 text-based modules with worked examples drawn from regulated financial services environments
Downloadable templates for competency frameworks, training needs analyses, behavioral objectives, and evidence file construction
Scenario assessment library with examiner commentary
Coaching conversation frameworks with documentation templates
Pre-examination audit checklist for training programs
Hand-built implementation playbook tailored to your role and program context

What you will have in hand by Day 1, Week 1, Month 1

Course access provisioned within 24 hours of purchase.

Hand-built implementation playbook delivered alongside course access.

All templates and worked examples available for immediate download from module one.

Before and after

Before

Your compliance training metrics show completion rates, assessment pass rates, and hours delivered. Your examiner asks about behavioral change, and you cannot point to a clean evidence file that answers that question.

After

You have a competency framework mapped to specific regulatory obligations, behavioral objectives that commit to measurable change, scenario assessments with documented results, and an evidence file your examiner can read without needing a guide from you.

What happens if you do not address this

The gap between a compliant-looking training program and one that demonstrably changes behavior closes slowly without a deliberate methodology. The cost shows up as recurring exceptions from trained staff, coaching conversations that have to be repeated, and examination findings that flag training effectiveness as a concern requiring remediation.

Who it is for

A Compliance Coach or Learning and Development professional working inside a regulated financial services institution, accountable for building compliance capability across business lines. You understand the regulatory landscape. You are encountering the gap between what your training program delivers and what your regulator expects to see when they examine it.

Who this is NOT for. This course is not for compliance analysts who are implementing specific regulatory obligations themselves. It is for practitioners whose primary role is designing, delivering, and evidencing the capability development of others. If you are new to compliance and looking to build your own regulatory knowledge, a different path applies.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. 10 to 15 hours total. 12 modules, each designed for one 45 to 90 minute sitting. Most practitioners work through one module per working day.

Why $199 is the right number

Generic learning design courses do not cover financial services regulation. Standard compliance e-learning platforms deliver content but do not build the coaching and assessment design skills that make the program examination-ready. Internal L&D teams at large financial institutions have the instructional design capability but often lack the regulatory examination framing. This course sits at the intersection of those two gaps.

FAQ

I already have a compliance training program in place. Is this course still relevant?

Yes. The course is designed for practitioners who have an existing program and need to strengthen it for regulatory examination, not for someone building from scratch. Most of the applied exercises work directly with your existing materials, so you leave each module with something actionable rather than a framework to implement later.

How does this apply to CPS 230 specifically?

CPS 230 requires regulated entities to demonstrate operational risk management capability across all relevant staff. The competency framework and evidence file modules address this directly, including how to map training design to the specific obligations under CPS 230 and how to document the chain of evidence an examiner would follow from obligation to behavioral outcome.

How long does each module take?

Each of the 12 modules is designed for one sitting of 45 to 90 minutes. The full course takes 10 to 15 hours to complete. Most practitioners work through one module per working day alongside their regular workload.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.