Course Outline
Institutional Segment: Due Diligence Fundamentals
- Overview of due diligence structures in financial organizations.
- Governance hierarchies, accountability, and reporting chains.
- Alignment with risk management and internal control mechanisms.
- Syncing due diligence with organizational strategy and compliance culture.
Management Segment: Leadership and Supervision
- Responsibilities of the Board and executives in compliance oversight.
- Formation of compliance committees and accountability protocols.
- Performance tracking, escalation procedures, and remediation planning.
- Ethical leadership and decision-making frameworks.
Marketing and Sales Segment: Ethical Practices and Client Clarity
- Due diligence in customer acquisition and marketing initiatives.
- Addressing conflicts of interest and ensuring disclosure transparency.
- Safeguarding data protection and consent in customer interactions.
- Monitoring sales activities for compliance and reputational risk.
Technical Segment: Operational and Data Due Diligence
- Mapping data streams and pinpointing sensitive information.
- Assessing system controls and cybersecurity readiness.
- Incorporating technology risk assessments into compliance evaluations.
- Utilizing tools and automation for due diligence data gathering and reporting.
Financial Segment: Financial Integrity and Risk Assessment
- Evaluating financial performance, solvency, and liquidity metrics.
- Reviewing counterparties and suppliers for financial robustness.
- Preventing financial crime: AML, CFT, and sanctions screening.
- Detecting fraud, conducting internal audits, and identifying red flags.
Legal and Regulatory Segment: CRS, FATCA, and Global Compliance Duties
- Grasping Common Reporting Standard (CRS) and FATCA obligations.
- Due diligence for tax residency, indicia search, and self-certifications.
- Core legal frameworks: OECD, MCAA, and local implementation.
- Handling penalties, remediation, and reporting requirements.
Environmental, Health, Safety, and Business Integrity Segment
- Embedding ESG considerations into due diligence practices.
- Health and safety compliance in financial and operational activities.
- Business integrity policies and anti-corruption strategies.
- Reporting on sustainability risks and compliance deficiencies.
Information Technology Segment: 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 adoption.
- Incident response, disaster recovery, and resilience planning.
Integrative Segment: Governance, Risk, and Audit Readiness
- Consolidating due diligence insights across various departments.
- Building integrated compliance dashboards and reporting structures.
- Readiness for external audits and regulatory inspections.
- Formulating continuous improvement and training initiatives.
Case Studies and Practical Drills
- Reviewing and categorizing sample client and vendor due diligence files.
- Simulating a multi-module risk assessment scenario.
- Drafting a corrective action and monitoring plan.
Wrap-up and Forward Planning
Requirements
- Proficiency in financial compliance and risk management procedures.
- Knowledge of fundamental tax, regulatory, or AML/KYC concepts.
- Background in client onboarding or governance roles is advantageous.
Target Audience
- Compliance and risk management specialists.
- Legal and audit experts.
- Managers in operations, finance, and IT involved in due diligence workflows.
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
