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 (4)
How to manage business financials
surprise mtileni - Hatima Holdings (Pty) ltd
Course - Learning Xero
Good communication, open for discussion, kept it interesting and engaging
Ahmet Keyman - Keytrade AG
Course - Management Accounting and Finance for Non-Finance Professionals
Experience of the trainer and his way of conveying the content
Roggli Marc - Bechtle Schweiz AG
Course - FinOps
The trainer did not leave a single minute unexploited! He was up a storm throughout every lesson and provided much material for whatever he dealt with.
