Description

A focused course, tailored for you

Regulatory Governance Framework Design for Financial Services

Build the multi-regulator governance structure that holds up under APRA, ASIC, and AUSTRAC examination, not just on paper.

The attestation pack is due to the board and two business lines still have not completed their self-assessments. The obligation register maps the latest CPS 230 changes across policies, but management sign-off is missing at the right level. When the prudential regulator reviews the governance framework, that is the first thing they look for.

$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

Regulatory Governance Managers at major financial groups carry a specific accountability: the governance framework must satisfy multiple regulators simultaneously, APRA prudential standards, ASIC conduct obligations, AUSTRAC AML/CTF requirements, each with different documentation expectations and attestation cycles. The real problem is not writing the policies. It is building a governance architecture where obligation mapping, policy hierarchy, management accountability, and attestation are coherent enough to survive regulator examination and board scrutiny at the same time. Most governance frameworks are built reactively, adding layers after each regulatory update, until the structure becomes inconsistent and the attestation process collapses under its own weight.

What you walk away with

Design a governance framework architecture that maps APRA CPS 230, ASIC conduct obligations, and AUSTRAC AML/CTF requirements to a single coherent policy hierarchy.
Build an obligation register that shows regulators which policies satisfy which regulatory requirements, with version control and change-trigger documentation.
Implement a management attestation cycle that business lines actually complete, with escalation paths and documented sign-off at the correct accountability level.
Produce a board governance pack that presents multi-regulator obligation status clearly, without conflating prudential, conduct, and financial crime requirements.
Respond to a regulatory information request with a governance framework that is internally consistent and auditable, not assembled from scattered documents after the request arrives.

The 12 modules

Module 1. Governance Framework Architecture for Multi-Regulator Environments

Establishes the structural foundations: how to design a governance framework that serves APRA prudential requirements, ASIC conduct expectations, and AUSTRAC AML/CTF obligations without creating three separate disconnected structures. Covers the tiered policy hierarchy model, the relationship between framework documents, policies, procedures, and standards, and the principle that one governance layer must not contradict another when examined in sequence by different regulators.

Module 2. Obligation Register Design and Maintenance

Teaches the architecture of a working obligation register: how to record regulatory obligations at the right level of granularity, link them to internal policies, assign ownership, and flag change triggers. Covers the difference between a compliance register used for internal audit and an obligation register used for regulatory examination. Includes the template used to map APRA prudential standards to policy suite coverage, with gap notation and remediation tracking.

Module 3. APRA Prudential Standard Mapping: CPS 230 and the Governance Framework

Focuses on mapping APRA CPS 230 Operational Risk Management obligations into the governance framework. Covers how to document board and management accountability, risk appetite integration, and the material service provider governance requirements that CPS 230 introduced. Examines the attestation documentation APRA expects to see at entity level and how governance managers structure internal evidence before APRA supervisory visits.

Module 4. ASIC Conduct Obligations and Governance Integration

Works through how ASIC's regulatory expectations, including obligations under the Australian Financial Services Licence, breach reporting under s912D, and design and distribution obligations, integrate into a governance framework that is primarily structured around APRA prudential standards. Covers the common conflict point where APRA accountability structures and ASIC conduct obligations require different documentation of who is responsible for what, and how to resolve that in the framework.

Module 5. AUSTRAC AML/CTF Governance Requirements

Addresses how AML/CTF Program obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act integrate into the broader governance framework. Covers the designated business group structure, the relationship between the AML/CTF compliance officer role and the broader governance accountability framework, and how to document AML/CTF governance in a way that satisfies AUSTRAC examination without creating a parallel governance structure that conflicts with the APRA-facing framework.

Module 6. Policy Hierarchy and Version Control

Covers the practical mechanics of maintaining a policy suite that remains internally consistent as regulatory requirements change. Teaches how to establish a change-trigger register that links external regulatory updates to the internal documents they affect, how to manage policy versioning so that regulators examining historical governance can see what was in place at any given time, and how to run the policy review cycle so that updates are documented, signed off, and traceable.

Module 7. Management Attestation Framework Design

Addresses the single most common governance failure point: attestation cycles that business lines do not complete, or complete in a way that does not demonstrate genuine accountability. Teaches the design of an attestation framework that is specific enough to be meaningful, with risk-based attestation questions tied to obligation areas rather than generic statements, escalation rules for incomplete attestations, and the sign-off documentation structure that demonstrates management accountability to both internal audit and external regulators.

Module 8. Board Governance Reporting for Multi-Regulator Obligations

Focuses on translating multi-regulator obligation status into board-level governance reporting that is clear, accurate, and does not conflate prudential, conduct, and financial crime requirements. Covers the structure of a board governance pack that presents obligation coverage, attestation cycle status, breach and near-miss disclosure, and regulatory change horizon in a format that board members can actually interrogate. Includes the template for obligation heat maps used in board reporting.

Module 9. Regulatory Change Management: Updating the Framework

Teaches the end-to-end process for incorporating regulatory updates into the governance framework, from monitoring APRA prudential practice guidance consultations and ASIC regulatory releases, through impact assessment against existing policies, to the policy update cycle, management attestation refresh, and board notification. Covers how to document the change management process so that regulators examining the framework can see how updates were absorbed and what decisions were made at each stage.

Module 10. Preparing the Governance Framework for Regulatory Examination

Covers how to structure governance framework documentation for APRA supervisory visits, ASIC surveillances, and AUSTRAC examinations. Examines the information requests regulators typically make, the documents they ask for first, and the common gaps that generate follow-up questions. Teaches how to prepare a governance framework evidence pack that is internally consistent, complete without being unwieldy, and demonstrates that governance is embedded rather than documented for examination purposes only.

Module 11. Governance Assurance and Internal Audit Integration

Addresses the relationship between the regulatory governance function and internal audit, and how to structure the governance framework so that internal audit findings do not undermine the regulatory-facing framework. Covers the three-lines-of-defence documentation requirements, how to record second-line governance testing in a way that supports rather than conflicts with first-line attestation, and how to manage the governance implications of internal audit issues raised between regulatory examination cycles.

Module 12. Governance Framework Implementation Playbook

Brings together the full implementation sequence: framework architecture, obligation register, policy hierarchy, attestation cycle, board reporting, and regulatory examination preparation into a single integrated plan. Covers the sequencing decisions that matter most in practice, specifically which layer of the governance framework to build or rebuild first when resources are constrained, and how to demonstrate governance framework maturity to regulators when the build is not yet complete.

How this addresses your situation

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

APRA supervisory visit preparation: modules 3, 10

Obligation register gaps before a regulatory change cycle: modules 2, 6, 9

Management attestation not being completed by business lines: module 7

Board governance reporting does not satisfy audit committee: module 8

What you get with this course

12 written modules in the Art of Service learning environment, self-paced
Obligation register template with APRA, ASIC, and AUSTRAC mapping columns
Policy hierarchy and version control template
Management attestation questionnaire template with escalation rules
Board governance reporting template with obligation heat map
Regulatory change management process documentation template
Hand-built implementation playbook tailored to regulatory governance roles in financial services

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

Course access and the hand-built implementation playbook are both delivered within 24 hours of purchase.

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

Before and after

Before

Governance framework exists as a set of documents that satisfy individual regulatory requirements in isolation. Attestation cycles are incomplete. When a regulator visits, the team assembles evidence under time pressure, discovers inconsistencies between policy layers, and cannot demonstrate that governance is genuinely embedded.

After

Governance framework is architecturally coherent across APRA, ASIC, and AUSTRAC obligations. Obligation register is current, owned, and change-triggered. Attestation cycle runs on schedule with documented sign-off. Regulatory examination preparation takes days, not weeks, because the evidence is already structured.

What happens if you do not address this

A governance framework that looks complete on the surface but cannot demonstrate embedded management accountability and coherent multi-regulator obligation mapping is a supervisory risk. APRA's thematic reviews and ASIC surveillances have become more documentation-intensive. A framework that requires reactive assembly when a regulator visits is evidence of the problem the regulator is looking for.

Who it is for

Regulatory governance managers, compliance directors, and senior governance professionals at Australian and international financial groups who own the design and maintenance of multi-regulator governance frameworks. Typically accountable to the Chief Compliance Officer or Chief Risk Officer, responsible for translating APRA prudential standards, ASIC regulatory expectations, and AUSTRAC obligations into an internal governance structure that business lines can attest against and regulators can examine.

Who this is NOT for. Regulatory analysts looking for an introduction to Australian financial regulation. Lawyers focused on legal interpretation rather than governance implementation. Operations managers without accountability for the governance framework itself.

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. Approximately 8-10 hours across the 12 modules at your own pace. Templates are ready to adapt immediately.

Why $199 is the right number

Governance consultants charge $15,000-$50,000 for a framework review and typically deliver a report rather than a working implementation. Regulatory training programs cover what the regulations say, not how to build the internal governance structure. This course teaches the build, with templates, so the work happens inside your organisation rather than being handed to an external firm.

FAQ

Is this specific to Australian financial regulation?

The module content is built around APRA, ASIC, and AUSTRAC obligations because those are the primary regulatory drivers for Australian financial services governance managers. The framework design principles apply to any multi-regulator environment, and the templates are structured to be adapted to different regulatory jurisdictions.

How does the implementation playbook differ from the course modules?

The course modules teach the method. The implementation playbook is hand-built for your specific role context: regulatory governance at a major financial group, with the sequencing, prioritisation, and stakeholder management specific to that environment. It arrives alongside course access within 24 hours.

Is there a refund policy?

30-day money-back guarantee if the course does not meet the standard described.

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.