Certificate IV in Compliance and Risk Management

11418NAT Certificate IV in Compliance and Risk Management

The 11418NAT Certificate IV in Compliance and Risk Management will equip Compliance Professionals with the core skills they need to meet the demands of an increasingly complex regulatory environment.

For those tasked with creating and implementing compliance frameworks in their organisations as part of or all of their responsibilities, this course gives you the core skills and knowledge in this specialised business area.

The principles-based course is designed to provide governance, risk and compliance practitioners the skills and knowledge to implement and maintain an effective compliance program across any industry or sector using the professional standards as a benchmark.

Dowload the Course Brochure

Important Details:

  • The 11418NAT Certificate IV in Compliance and Risk Management is a nationally accredited course that delivers up-to-date compliance, risk and governance content and the practical skills required to develop, implement and manage a compliance program. It is also a unique opportunity to strengthen personal networking with like-minded professionals.

To register for this course, you must have achieved ONE of the following requirements:

  • One years’ experience in a role with compliance and or risk duties. 
  •  Equivalent experience in a related field such as regulation, law, auditing, or job roles with aspects of risk or compliance. 
  •  Related course of study such as WHS and security. 
Am I eligible? — Certificate IV in Compliance and Risk Management

Answer three questions to find out if you're ready to enrol in the Certificate IV in Compliance and Risk Management (11418NAT). Takes about a minute.

Question 1
Do you have at least one year of experience in a role where compliance or risk management was part of your duties?
For example: monitoring compliance with policies or regulatory obligations, supporting or conducting risk assessments, investigating breaches or incidents, preparing regulatory reports, or internal audit and quality assurance support.
✓ Yes
✕ No
? Not sure
What counts as compliance or risk duties
  • Monitoring whether your organisation or team is following policies, procedures, or regulatory requirements
  • Identifying, recording, or escalating risks in your area
  • Helping to investigate a complaint, breach, or incident
  • Preparing or reviewing reports related to compliance, risk, or regulatory obligations
  • Supporting or participating in audits or quality assurance reviews
  • Designing, testing, or reviewing controls to manage risk
  • Advising colleagues on what the rules require
Does the job title matter?

No — the title doesn't matter, the work does. Many people carry out compliance and risk duties without "compliance" or "risk" in their job title. If any of the above describes part of your role, it counts.

Question 2
Do you have at least one year of experience in a related field?
For example: applying legislation or regulation to workplace decisions, investigating non-compliance, working within a licensed or regulated environment, managing risk, advising on legal or regulatory obligations, or overseeing governance and accountability processes.
✓ Yes
✕ No
? Not sure
Types of work that count
  • Applying laws, regulations, or codes of practice to decisions in your role
  • Investigating or responding to complaints, breaches, or non-compliance
  • Assessing, documenting, or treating risk as part of your day-to-day work
  • Advising colleagues or clients on legal, regulatory, or policy obligations
  • Working within a licensed, accredited, or regulated environment
  • Overseeing governance, accountability, or assurance processes
  • Preparing reports for regulators, management, or a board
  • Enforcing rules, standards, or codes of conduct
Roles and fields where this work is common
  • Law enforcement, policing, or regulatory investigation
  • Legal or paralegal work
  • Human resources, employment relations, or people risk
  • Internal or external audit
  • AML, KYC, fraud, or financial crime
  • Clinical governance, research compliance, or WHS
  • Policy, governance, or assurance roles
  • Conveyancing, procurement, or contract management with a compliance focus
Still not sure?

If you work in a regulated industry and your role regularly involves rules, accountability, or decisions with a legal or regulatory dimension — it probably counts. Email our team and we'll confirm.

Question 3
Have you completed, or are you currently undertaking, a related course of study?
For example: work health and safety, security operations or management, quality or audit, law or legal studies, or business with a compliance, risk or governance focus.
✓ Yes
✕ No
? Not sure
What counts as related study
  • Any qualification in work health and safety, security, or emergency management
  • A certificate, diploma, or degree in law or legal studies
  • Business, management, or public administration with a governance, risk, or compliance focus
  • Quality management, auditing, or assurance qualifications
  • Finance, banking, or financial services qualifications
  • Government, policy, or public sector management programs
Does it need to be finished?

No — partially completed study counts. If you started a related qualification and didn't finish it, or are currently studying, that still applies here.

Does it need to be Australian?

Not necessarily. Overseas qualifications in related fields are considered. Email our team and mention your qualification if you're unsure.

✓ Ready to enrol
You're ready to take the next step.
Based on your answers, you meet the entry requirements for the Certificate IV in Compliance and Risk Management (11418NAT). Your background gives you the foundation to engage with the course content and apply it in a real or simulated workplace context.
What to do next
1
Review the course details below — delivery, assessment, fees, and schedule.
2
Read the Terms and Conditions of Enrolment and the Student Handbook before proceeding with your enrolment.
3
Questions first? Email us at [email protected] and we'll get back to you within one business day.
? A few things to talk through
You might be a great fit — let's find out.
Based on your answers, there are a few things worth talking through before you enrol. Our team can quickly help you work out whether your background meets the entry requirements and what the best starting point is for you.
What to do next

Email our education team with a brief note about your background and what you're hoping to achieve.

[email protected]
→ Let's have a conversation
It's worth talking it through first.
Based on your answers, the Certificate IV may still be a good fit — but your background is a little outside the standard entry criteria. Our team can help you work out the best path forward, whether that's this course, a short course first, or a different starting point.
What to do next

Email our education team with a brief note about your background and what you're hoping to achieve.

[email protected]

You have the option to complete the course:

  • Online:
    • Each cohort includes virtual classes held over four half consecutive days with up to 18 months to complete the final assessments.
    • coming soon – self-paced online learning
  • In Person:
    • Two full days of classroom training with up to 18 months to complete the final assessments.

Tailored In-house Training 10964NAT Certificate IV program or individual modules can also be delivered and tailored to meet the specific needs of your organisation, within the parameters of the national course framework, ensuring optimal value for your business and employees. Contact us to discuss your requirements.

  1. BSBAUD412 Work within compliance frameworks
  2. BSBLDR411 Demonstrate leadership in the workplace
  3. BSBOPS403 Apply business risk management processes
  4. BSBWRT411 Write complex documents
  5. FNSORG411 Conduct individual work within a compliance framework
  6. FNSRSK411 Apply risk management strategies to own work
  7. PSPREG034 Assess compliance
  8. PSPREG036 Act on non-compliance
  9. PSPREG043 Undertake compliance audits
  • Pre-Course reading
  • Course Modules covering the nine units of competency:
    • Module 1: Compliance & Risk Frameworks
    • Module 2: Culture of Compliance & Ethics
    • Module 3: Compliance Obligation, Legislation & Regulation
    • Module 4: Awareness, Communication & Training
    • Module 5: Issues and Breach Management
    • Module 6: Managing Compliance Projects
    • Module 7: Compliance Monitoring
  • Three Assessments – which you will have up to 18 months to complete after your virtual or inperson class
  • Post-Course evaluation
  • Course Tuition 
  • All Course Materials 
  • Digital Certificate, Digital Badge and Record of Results
  • Email Support 

Hardcopies of all course materials can be ordered. Cost of postage will be on-charged to the student

Upcoming Course Dates & Enrollment Options:

Online Course Fees:

$3,750 Non-Members
$2,800 Members

All accredited courses are exclusive of GST

Please select an upcoming Online Intake:

View Calendar
In Person Course Fees:

$4,500 Non-Members
$3,360 Members

All accredited courses are exclusive of GST

Can’t see your preferred location? Complete the form below and we’ll let you know when courses are being scheduled for that location: