Course Outline
Institutional Module: Core Principles of Due Diligence
- Survey of due diligence frameworks within the financial industry
- Examining governance structures, accountability, and reporting hierarchies
- Aligning due diligence with risk management and internal control mechanisms
- Synchronizing due diligence efforts with organizational strategy and compliance culture
Management Module: Executive Leadership and Oversight
- Defining board and executive roles in compliance supervision
- Forming compliance committees and establishing accountability structures
- Monitoring performance, managing escalations, and planning corrective actions
- Frameworks for ethical leadership and informed decision-making
Marketing and Sales Module: Ethical Practices and Client Clarity
- Applying due diligence in client acquisition and marketing strategies
- Mitigating conflicts of interest and ensuring transparency in disclosures
- Safeguarding data protection and obtaining consent in customer interactions
- Overseeing sales methodologies to minimize compliance and reputational risks
Technical Module: Operational and Data Integrity Due Diligence
- Tracing data pathways and pinpointing sensitive information
- Assessing system controls and cybersecurity standing
- Incorporating technology risk evaluations into compliance reviews
- Leveraging tools and automation for efficient data collection and reporting
Financial Module: Integrity and Risk Assessment
- Reviewing financial performance, solvency, and liquidity metrics
- Evaluating the financial stability of counterparties and suppliers
- Preventing financial crime through AML, CFT, and sanctions screening
- Identifying fraud, conducting internal audits, and recognizing warning signs
Legal and Regulatory Module: CRS, FATCA, and Global Obligations
- Navigating the Common Reporting Standard (CRS) and FATCA mandates
- Conducting due diligence for tax residency, indicative searches, and self-certification
- Understanding key legal structures: OECD, MCAA, and local implementations
- Handling penalties, remediation steps, and reporting duties
Environmental, Health, Safety, and Business Integrity Module
- Incorporating ESG criteria into due diligence workflows
- Ensuring health and safety compliance in financial and operational contexts
- Implementing business integrity policies and anti-corruption controls
- Reporting on sustainability risks and compliance deficiencies
Information Technology Module: Data Governance and Security Compliance
- IT governance models and digital risk oversight
- Standards for data integrity, retention, and traceability
- Compliance considerations in digital transformation and AI implementation
- Planning for incident response, disaster recovery, and system resilience
Integrative Module: Governance, Risk, and Audit Preparedness
- Unifying due diligence insights across various departments
- Building integrated compliance dashboards and reporting models
- Readying the organization for external audits and regulator examinations
- Formulating continuous improvement and professional development plans
Case Studies and Practical Applications
- Analyzing and categorizing sample client and vendor due diligence records
- Simulating a complex, multi-module risk assessment scenario
- Constructing a plan for corrective actions and ongoing monitoring
Summary and Future Directions
Requirements
- Working knowledge of financial compliance and risk management procedures
- Basic familiarity with tax, regulatory, or AML/KYC principles
- Background in client onboarding or governance functions is advantageous
Target Audience
- Compliance and risk management specialists
- Legal and audit experts
- Managers in operations, finance, and IT involved in due diligence activities
Testimonials (3)
How to manage business financials
surprise mtileni - Hatima Holdings (Pty) ltd
Course - Learning Xero
Flexibility in the course delivery and the interactive approach. The trainer was open to questions, clarified doubts clearly and also considered participants suggestions during the sessions. The training was well structured and informative.
Soundarya Mohan - Mizuho Bank Europe N.V.
Course - Financial Analysis in Excel
Good communication, open for discussion, kept it interesting and engaging