Sanctions Compliance & Screening (DFAT Autonomous Sanctions)

One missed sanctions check can expose an organisation to serious financial, legal, and reputational consequences....

4.7(5)
257
2- 5 Hours
28
Advanced

About This Course

One missed sanctions check can expose an organisation to serious financial, legal, and reputational consequences. As global business relationships become more complex, Australian organisations must understand who they are dealing with and ensure they comply with applicable sanctions obligations.

The Sanctions Compliance & Screening (DFAT Autonomous Sanctions) course provides practical, Australia-focused training to help organisations understand sanctions requirements, implement effective screening processes, and strengthen financial crime prevention frameworks. Participants will learn how to conduct sanctions screening, use the DFAT Consolidated List, identify prohibited dealings, assess third-party risks, and apply effective due diligence practices.

This online course explains Australia’s sanctions framework administered by the Department of Foreign Affairs and Trade (DFAT) and explores how sanctions controls integrate with broader compliance programs, including AML/CTF risk management. Through practical examples and workplace scenarios, learners will develop the skills to manage screening alerts, strengthen governance, and reduce exposure to regulatory and operational risks.

Designed for compliance professionals, AML/CTF practitioners, legal professionals, accountants, business owners, risk managers, trade specialists, and financial services professionals, this course helps organisations build stronger sanctions controls and confidently support compliant domestic and international business operations.

What You'll Learn

By completing this course, you will be able to:

  • Understand Australia's sanctions framework and DFAT autonomous sanctions regime.
  • Conduct sanctions screening using the DFAT Consolidated List.
  • Identify sanctioned individuals, entities, vessels, and beneficial owners.
  • Understand targeted financial sanctions, asset freezes, and prohibited dealings.
  • Apply customer due diligence and sanctions screening throughout the customer lifecycle.
  • Recognise sanctions risks across international trade and high-risk industries.
  • Understand corporate liability, penalties, and due diligence obligations.
  • Integrate sanctions screening into AML/CTF compliance programmes.
  • Manage sanctions alerts, investigations, escalation, and recordkeeping.
  • Support a risk-based sanctions compliance programme and organisational governance.

Who should Take This Course

This course is ideal for:

  • AML/CTF Compliance Officers
  • Sanctions Compliance Professionals
  • Financial Crime Analysts
  • Risk Managers
  • Legal Professionals
  • Accountants
  • Real Estate Professionals
  • Conveyancers
  • Banking and Financial Services Employees
  • Trade and Export Professionals
  • Procurement and Supply Chain Professionals
  • Business Owners and Directors

Career opportunities

Knowledge of sanctions compliance and DFAT screening is increasingly valuable across financial crime, compliance, governance, international trade, banking, legal, and risk management functions. As Australian sanctions obligations continue to evolve, professionals with sanctions expertise are in high demand.

This course can support career development in roles such as:

  • Sanctions Compliance Officer
  • AML/CTF Compliance Officer
  • Financial Crime Analyst
  • Compliance Manager
  • Risk Manager
  • Banking Compliance Specialist
  • Trade Compliance Officer
  • Legal Advisor
  • Accountant
  • Real Estate Compliance Officer
  • Internal Auditor
  • Corporate Governance Professional
  • Business Owner
  • Company Director
  • Financial Services Manager

Requirements


There are no formal prerequisites for this course. It is suitable for compliance professionals, AML/CTF practitioners, financial services personnel, legal professionals, accountants, real estate professionals, trade and logistics teams, and anyone responsible for sanctions screening or regulatory compliance.

Certification

Certification

Upon successful completion of the course and final assessment, learners will receive a Digital Certificate from Australian Compliance Training. This certificate demonstrates practical knowledge of Australian sanctions compliance, DFAT screening requirements, and risk-based sanctions management.

Certification

Why Choose Us

  • Gain practical knowledge of Australia's DFAT sanctions framework and compliance obligations.
  • Learn how to conduct effective sanctions screening using the DFAT Consolidated List.
  • Understand targeted financial sanctions, prohibited dealings, and corporate liability.
  • Develop practical skills for sanctions due diligence, investigations, and risk management.
  • Learn how sanctions compliance integrates with Australia's AML/CTF framework and Tranche 2 reforms.
  • Explore real-world Australian enforcement actions and case studies.
  • Study online at your own pace with flexible, self-paced learning.
  • Complete assessments to reinforce practical workplace knowledge.
  • Suitable for financial services, legal, accounting, real estate, trade, and other regulated sectors.
  • Receive a Digital Certificate from Australian Compliance Training.

Compliance and Regulatory Alignment

This course supports awareness and understanding of Australian sanctions laws and recognised compliance frameworks, including:

  • Autonomous Sanctions Act 2011 (Cth)
  • Autonomous Sanctions Regulations 2011 (Cth)
  • United Nations Security Council (UNSC) Sanctions
  • DFAT Consolidated List Requirements
  • Australian Sanctions Office (ASO) Guidance
  • Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth)
  • Tranche 2 AML/CTF Reforms
  • Customer Due Diligence (CDD) and Beneficial Ownership Requirements
  • Financial Crime Risk Management Principles
  • Risk-Based Compliance and Corporate Governance Frameworks
  • Recordkeeping and Internal Control Best Practices

Course Curriculum

8 sections28 lectures2- 5 Hours
▶ 1.1 Australia’s sanctions framework: DFAT, ASO, UNSC sanctions, and autonomous sanctions
▶ 1.2 Autonomous Sanctions Act 2011 and Autonomous Sanctions Regulations 2011
▶ 1.3 Key differences between sanctions, AML/CTF, export controls, and financial crime compliance
▶ 1.4 Sanctions risk for Australian organisations and Spanish-linked cross-border businesses
▶ Quiz
▶ 2.1 DFAT Consolidated List: purpose, structure, updates, and compliance use
▶ 2.2 Screening customers, suppliers, beneficial owners, counterparties, vessels, and transaction parties
▶ 2.3 Name matching, aliases, fuzzy matching, false positives, and true match handling
▶ 2.4 Onboarding screening, ongoing monitoring, rescreening, and screening documentation
▶ Quiz
▶ 3.1 Targeted financial sanctions, asset freezes, and controlled assets
▶ 3.2 Making assets available directly or indirectly to designated persons or entities
▶ 3.3 Sanctioned supply, sanctioned services, imports, exports, and commercial activity restrictions
▶ 3.4 High-risk sectors: banking, remittance, legal services, accounting, real estate, mining, logistics, and research
▶ Quiz
▶ 4.1 Corporate strict liability under Australian sanctions law
▶ 4.2 Individual liability, director accountability, employee conduct, and criminal exposure
▶ 4.3 Penalty units, transaction-value penalties, imprisonment risk, and enforcement consequences
▶ 4.4 Due diligence defence: policies, risk assessments, training, escalation, and audit evidence
▶ Quiz
▶ 5.1 Tigers Realm Coal and the extraterritorial reach of Australian autonomous sanctions
▶ 5.2 Overseas subsidiaries, foreign supply chains, localised operations, and indirect sanctions exposure
▶ 5.3 ASO, AFP, ABF, AUSTRAC, and coordinated sanctions enforcement activity
▶ 5.4 Enforcement lessons from remittance, trade, mining, exports, payments, and financial institutions
▶ Quiz
▶ 6.1 Sanctions screening under Australia’s Tranche 2 AML/CTF reforms
▶ 6.2 Legal professionals, accountants, conveyancers, real estate professionals, and other gatekeeper sectors
▶ 6.3 Customer due diligence, beneficial ownership checks, client acceptance, and ongoing monitoring
▶ 6.4 Suspicious matter escalation, recordkeeping, staff training, and AML/CTF programme integration
▶ Quiz
▶ 7.1 Designing a practical DFAT sanctions screening and escalation framework
▶ 7.2 Alert triage, investigation workflow, stop-payment controls, senior sign-off, and audit trails
▶ 7.3 Sanctions permits, ASO engagement, class-based permits, and activity approval controls
▶ 7.4 Building a sanctions compliance programme: governance, roles, testing, reporting, and continuous improvement
▶ Quiz

Frequently Asked Questions

DFAT Autonomous Sanctions are sanctions imposed by the Australian Government under the Autonomous Sanctions Act 2011 to restrict dealings with designated individuals, entities, countries, and activities that present national or international security concerns.

This course is suitable for compliance professionals, AML/CTF practitioners, banks, financial institutions, legal professionals, accountants, real estate professionals, trade organisations, exporters, importers, and anyone responsible for sanctions screening or financial crime compliance.


The DFAT Consolidated List is Australia's official list of sanctioned persons and entities. Organisations use it to screen customers, suppliers, beneficial owners, counterparties, and other parties to ensure compliance with Australian sanctions laws.


Sanctions compliance is an important component of financial crime risk management and works alongside AML/CTF obligations. Organisations should integrate sanctions screening with customer due diligence, beneficial ownership checks, ongoing monitoring, and suspicious matter reporting processes.


Sanctions screening helps organisations avoid prohibited dealings, strengthen regulatory compliance, reduce financial crime risks, protect their reputation, and prevent significant penalties associated with breaches of Australian sanctions legislation.

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