Financial Services Workforce Compliance Automation

Financial services compliance obligations keep expanding, managing them shouldn't overwhelm your team

Financial services organisations carry some of the most demanding workforce compliance obligations in Australia. AUSTRAC expects documented personnel due diligence under the updated AML/CTF Rules, APRA and ASIC administer the Financial Accountability Regime across banking, insurance, and superannuation, and screening requirements reach from responsible persons to the front office and the board. Kinatico Compliance gives HR, risk, and compliance teams a single platform to manage screening, credential verification, policy acknowledgements, and audit-ready record keeping, so teams can focus on serving clients, not chasing paperwork.

Stay compliant, stay confident

Keep every person's credentials and accreditations current and verified
Never miss a renewal or re-screening across your workforce
From onboarding to annual verifications, deploy any compliance activity

Keep every person's credentials and accreditations current and verified
Never miss a renewal or re-screening across your workforce
From onboarding to annual verifications, deploy any compliance activity

Every worker. Every policy. Every record. One solution.

Australian National Police Check (NCCHC)

Conduct Nationally Coordinated Criminal History Checks for client-facing, senior, and AML/CTF-function roles, with configurable recurring cadence

National Police Check
Anti-Money Laundering (AML) Screening

Screen employees against Australian and international sanctions lists, financial crime watchlists, and Politically Exposed Persons (PEP) databases.

Anti-Money Laundering Screening
Australian Bankruptcy Screen

Verify whether an individual is or has previously been bankrupt, supporting integrity assessments for roles with financial responsibility

Australian Bankruptcy Screen
Australian Credit Default Verification

Identify individuals with financial difficulties that may present a conflict of interest or integrity risk in client-facing or financial roles

Australian Credit Default Verification
Australian Domestic Qualification Verification

Confirm the legitimacy of professional qualifications, certifications, and accreditations

Australian Domestic Qualification Verification
Australian Working Rights Verification

Confirm visa status and work entitlements via the Department of Home Affairs' VEVO system, with annual monitoring included

Australian Working Rights Verification
ChatRef

Gather structured references from previous employers, with each referee completing a guided conversation in their own time, helping approved providers build a quality, child-safe workforce from the start.

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Custom Activity Builder

Build your own activities to meet internal procedural policy requirements; allowing you to set cadence, automation and approval workflows, and collect evidence and score responses automatically.

Automated Follow-Ups & Build Your Own Requirements

Continuous monitoring for your workforce

Kinatico Compliance’s Monitored Compliance engine automatically re-runs key verifications in the background, without any action required from the person or your team. If something has changed, administrators are alerted immediately. If nothing has changed, the result is logged and the cycle resets. This shifts compliance from a point-in-time event to a continuous, auditable programme.

Anti-Money Laundering (AML) Monitoring

Sanctions lists and PEP databases are updated continuously. Monitoring ensures any change in an employee's AML status is detected and flagged promptly, supporting your ongoing Personnel Due Diligence obligations.
Australian Working Rights

Visa conditions can change without warning, affecting a worker's entitlement to work. Monitoring via the Department of Home Affairs' VEVO system ensures any change in visa status or work conditions is detected and flagged promptly.

Deploy and Document Any Compliance Activity Your Programme Requires

Financial services organisations are required to ensure their workforce understands their obligations, has completed relevant training, and has acknowledged the policies that govern their conduct, and to demonstrate it. Kinatico Compliance’s Custom Activity Builder gives your HR, risk, and compliance teams the tools to design and deploy any activity, directly to people wherever they work.

Deploy AML/CTF risk awareness training

- issue role-specific training modules with completion tracked per person and results stored against their compliance record, supporting your obligations under the reformed AML/CTF framework
Issue policy acknowledgements for digital sign-off

- Code of conduct, conflict of interest policies, client confidentiality agreements, data handling and privacy procedures, gifts and entertainment policies, and more — all captured with a digital signature and stored as documented evidence
Streamline onboarding with structured digital workflows

— ensure every new starter or contractor completes all required activities before their first day, with documentation digitally accessible and stored from the moment they join
Schedule annual declarations

— deploy fit-and-proper, conflict of interest, or change-of-circumstance declarations on a recurring cadence, requiring people to confirm or update information relevant to their suitability and integrity

Maintain the records regulators expect to see

Financial services organisations must maintain documented evidence of workforce screening, training, and policy compliance, and demonstrate it to AUSTRAC, APRA, ASIC, professional bodies, and increasingly, to institutional clients who expect documented governance as part of their engagement criteria. Under the AML/CTF framework, records must be retained for several years.

Kinatico Compliance captures all of this automatically. Every verification initiated, every result received, every credential confirmed, every activity completed, logged in a secure, tamper-evident audit trail.

Exportable at any time for AUSTRAC review, ASIC engagement, internal audit, or client due diligence
Risk matrix identifying workers with outstanding obligations or lapsed credentials
Non-compliance alerts with automated escalation workflows
Structured reports for senior management, compliance officers, and board governance

When a regulator asks what your compliance programme looks like, your answer should come in seconds — not days of manual searching.

From accountable persons to agency staff, one platform for your entire regulated workforce

Financial services workforces don't fit neatly into a single employment category, and neither do their obligations. The screening a responsible manager requires under your AFSL or credit licence differs from the personnel due diligence expected of your AML/CTF function, the fit and proper assessments applied to accountable persons, and the reference and credential verifications for advisers, brokers, and support roles. Kinatico Compliance manages them all in a single unified system, applying the right verifications, declarations, and monitoring cadence to each role, whether permanent, casual, contractor, or agency. When AUSTRAC, APRA, or ASIC asks how your organisation responds when something changes, the audit trail is already there.

Why Kinatico

Kinatico Compliance is part of the ASX-listed Kinatico group, the same trusted foundation as CVCheck, Australia and New Zealand's leading employment screening provider. With nearly two decades of experience, we serve over 7,500 organisations across the region.

100% Australian owned and operated
ISO 27001 certified & ISO 27701 certified
Australian data sovereignty, no overseas data storage
Australian support and account management