Course Outline
Institutional Module: Fundamentals of Due Diligence
- Introduction to due diligence frameworks within the financial sector
- Governance structures, accountability, and reporting hierarchies
- Alignment with risk management and internal control mechanisms
- Synchronizing due diligence with organizational strategy and compliance culture
Management Module: Leadership and Supervision
- Roles of the board and executives in overseeing compliance
- Formation of compliance committees and accountability structures
- Monitoring performance, escalation protocols, and planning corrective actions
- Frameworks for ethical leadership and decision-making
Marketing and Sales Module: Ethical Behavior and Client Clarity
- Due diligence in client acquisition and marketing initiatives
- Handling conflicts of interest and ensuring transparent disclosures
- Protecting data and securing consent in client interactions
- Monitoring sales conduct to mitigate compliance and reputational risks
Technical Module: Operational and Data Due Diligence
- Tracing data flows and pinpointing sensitive information
- Assessing system controls and cybersecurity stance
- Incorporating technology risk assessments into compliance reviews
- Utilizing tools and automation for gathering and reporting due diligence data
Financial Module: Financial Soundness and Risk Evaluation
- Reviewing financial performance, solvency, and liquidity metrics
- Evaluating the financial stability of counterparties and suppliers
- Preventing financial crime: AML, CFT, and sanctions checks
- Fraud identification, internal audits, and recognizing warning signs
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Duties
- Comprehending Common Reporting Standard (CRS) and FATCA mandates
- Due diligence for tax residency, indicia verification, and self-certification
- Key legal structures: OECD, MCAA, and local implementation
- Managing penalties, remediation, and reporting requirements
Environmental, Health and Safety, and Business Integrity Module
- Incorporating ESG into due diligence practices
- Health and safety compliance in financial and operational activities
- Business integrity policies and anti-corruption strategies
- Reporting sustainability risks and compliance deficiencies
Information Technology Module: Data Governance and Security Compliance
- IT governance frameworks and digital risk management
- Standards for data integrity, retention, and traceability
- Regulatory compliance in digital transformation and AI integration
- Incident response, disaster recovery, and resilience strategies
Integrative Module: Governance, Risk, and Audit Readiness
- Consolidating due diligence insights across departments
- Developing integrated compliance dashboards and reporting structures
- Preparing for external audits and regulatory inspections
- Formulating continuous improvement and training strategies
Case Studies and Practical Applications
- Reviewing and categorizing sample client and vendor due diligence files
- Simulating a multi-module risk assessment scenario
- Designing a corrective action and monitoring plan
Conclusion and Next Steps
Requirements
- Familiarity with financial compliance and risk management workflows
- Knowledge of fundamental tax, regulatory, or AML/KYC principles
- Background in client onboarding or governance roles is advantageous
Target Audience
- Compliance and risk management professionals
- Legal and audit specialists
- Managers in operations, finance, and IT engaged in due diligence processes
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.
