A focused course, tailored for you
The Head of Compliance Playbook for Australian Trading Firms
An integrated Head of Compliance playbook for Australian financial trading firms in 2026: ASIC framework integration, AUSTRAC framework integration, APRA framework integration, customer-side AI use-case framework.
Heads of Compliance at Australian financial trading firms balance ASIC, AUSTRAC, APRA, customer-side AI use-case framework. The course delivers the integrated playbook.
$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
Heads of Compliance at Australian financial trading firms balance ASIC framework, AUSTRAC framework, APRA framework, customer-side AI use-case framework. The customer's board reads fragmented modernisation progress. The default Head of Compliance handles each as a separate workstream.
The course delivers the integrated playbook. ASIC framework integration. AUSTRAC framework integration. APRA framework integration. Customer-side AI use-case framework. Customer-side incident response framework. Customer-side data-platform integration. Customer-side workforce integration. Customer-side board reporting framework. Twelve modules with deliverables. Plus a hand-built playbook for your firm.
The 12 modules
Module 1. The 2026 Australian trading firm compliance landscape
Walkthrough of the 2026 Australian trading firm compliance landscape. The Trademax Australia profile. The IG Australia profile. The CMC Markets Australia profile. The Pepperstone profile. The competitive landscape across Australian trading firm compliance functions. Plus the integration with the customer's existing programme cadence and the worked example for the customer's typical operating model.
Module 2. ASIC framework integration
Build the ASIC framework integration. The ASIC RG 271 framework. The ASIC RG 78 framework. The ASIC market integrity framework. The integration with the customer's existing ASIC engagement cadence. Plus the worked example for the customer's first ASIC-aligned posture and the reference patterns from peer customer organisations.
Module 3. AUSTRAC framework integration
Build the AUSTRAC framework integration. The AML/CTF Act framework. The AUSTRAC reporting framework. The customer-side AUSTRAC engagement framework. The integration with the customer's existing AUSTRAC engagement cadence. Plus the worked example for the customer's first AUSTRAC-aligned posture and the reference patterns from peer customer organisations.
Module 4. APRA framework integration
Build the APRA framework integration. The APRA CPS 234 framework. The APRA CPS 230 operational resilience framework. The APRA prudential standard engagement framework. The integration with the customer's existing APRA engagement cadence. Plus the worked example for the customer's first APRA-aligned posture and the reference patterns from peer customer organisations.
Module 5. Customer-side AI use-case framework
Build the customer-side AI use-case framework. The customer-side AI use-case identification. The customer-side AI use-case classification. The customer-side AI use-case prioritisation. The customer-side AI use-case roadmap framework. The integration with the customer's existing AI-strategy cadence. Plus the worked example for the customer's first three AI use cases under the framework.
Module 6. Customer-side incident response framework
Build the customer-side incident response framework. The customer-side incident-classification framework. The customer-side incident-triage framework. The customer-side incident-investigation framework. The customer-side incident-containment framework. The customer-side incident-recovery framework. The customer-side post-incident review framework. Plus the worked example for the customer's first integrated incident response cycle.
Module 7. Customer-side data-platform integration
Build the customer-side data-platform integration. The customer's existing trading-platform integration. The customer's existing market-data-platform integration. The customer's existing risk-platform integration. The customer's existing compliance-platform integration. The integration with the customer's existing data-governance framework. Plus the worked example for the customer's typical data-platform footprint.
Module 8. Customer-side workforce integration
Build the customer-side workforce integration. The Head of Compliance role evolution. The Compliance Officer role evolution. The Compliance Analyst role evolution. The customer-side training framework. The customer-side competency-assessment framework. Plus the worked example for the customer's first 12 months of workforce integration.
Module 9. Customer-side governance integration
Build the customer-side governance integration. The customer-side risk-management committee integration. The customer-side audit committee integration. The customer-side compliance committee integration. The customer-side AI governance committee integration. The integration with the customer's existing board cadence. Plus the worked example for the customer's typical multi-committee governance cadence.
Module 10. Customer-side board reporting framework
Build the customer-side board reporting framework. The integrated compliance dashboard. The integrated regulatory dashboard. The integrated incident response dashboard. The integrated AI use-case dashboard. The exception-reporting framework. The forward-look framework. The integration with the customer's existing board cadence. Plus the worked example for the board briefing pack.
Module 11. Customer engagement structure
Build the customer engagement structure. The discovery phase. The diagnostic phase. The transformation phase. The sustainment phase. The renewal conversation. The customer-side programme-governance committee integration. Plus the worked example for a 12-month customer engagement and the pricing framework. Plus the worked example for the customer's typical operating model under the integrated framework and the reference pattern from peer customer organisations.
Module 12. Your 10-week build plan
Week by week. Weeks 1-2: landscape and ASIC framework integration. Weeks 3-4: AUSTRAC framework integration and APRA framework integration. Weeks 5-6: customer-side AI use-case framework and incident response framework. Weeks 7-8: data-platform, workforce, governance integration. Weeks 9-10: board reporting framework, customer engagement structure. Deliverable: an integrated Head of Compliance playbook ready for the next 12-month programme.
How this addresses your situation
Specific modules that map to what you said you are dealing with.
ASIC → Module 2.
AUSTRAC → Module 3.
APRA → Module 4.
AI use-case → Module 5.
Incident response → Module 6.
Data platform → Module 7.
Workforce → Module 8.
Board reporting → Module 10.
What happens if you do not address this
ASIC, AUSTRAC, APRA examination cadences do not pause. Australian trading firm compliance functions that do not integrate compound regulatory risk into 2027.
Who it is for
For Heads of Compliance at Australian financial trading firms, principal compliance consultants serving Australian trading firms.
Who this is NOT for. Pure non-Australian-trading-firm practitioners. Practitioners with no Head of Compliance context.
How it arrives
Text-based course via LMS, plus downloadable templates and worked examples and the hand-built playbook.
Time investment. Roughly 18 hours of reading and 60 to 120 hours of build effort across the 10-week plan.
Why $199 is the right number
External Australian trading firm compliance consultants charge from 100,000 to 500,000 AUD. 199 USD buys the focused playbook and the implementation document for your firm.
FAQ
Does this cover Australian managed funds adjacency?
Module 1 covers Australian managed funds adjacency.
What about Australian wealth management adjacency?
Module 1 covers Australian wealth management adjacency.
Does this cover Australian insurance adjacency?
Module 1 covers Australian insurance adjacency.
What is in the implementation playbook for me specifically?
Head of Compliance playbook tuned to your firm.
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.
