Course Outline
Institutional Module: Foundations of Due Diligence
- Introduction to due diligence frameworks within financial institutions
- Governance structures, accountability, and reporting hierarchies
- Alignment with risk management and internal control systems
- Aligning due diligence with organizational strategy and compliance culture
Management Module: Leadership and Oversight
- Board and executive duties in compliance supervision
- Establishing compliance committees and accountability mechanisms
- Performance monitoring, escalation procedures, and corrective action planning
- Ethical leadership and decision-making models
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Due diligence in client acquisition and marketing strategies
- Managing conflicts of interest and ensuring transparency in disclosures
- Safeguarding data protection and consent in customer communications
- Monitoring sales practices for compliance and reputational risk
Technical Module: Operational and Data Due Diligence
- Mapping data flows and identifying sensitive information
- Evaluating system controls and cybersecurity posture
- Integrating technology risk assessments into compliance reviews
- Utilizing tools and automation for due diligence data collection and reporting
Financial Module: Financial Integrity and Risk Analysis
- Assessing financial performance, solvency, and liquidity metrics
- Evaluating counterparties and suppliers for financial stability
- Financial crime prevention: AML, CFT, and sanctions screening
- Fraud detection, internal audits, and identifying red flags
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations
- Understanding the Common Reporting Standard (CRS) and FATCA requirements
- Due diligence for tax residency, indicia search, and self-certifications
- Key legal frameworks: OECD, MCAA, and domestic implementation
- Managing penalties, remediation, and reporting obligations
Environmental, Health and Safety, and Business Integrity Module
- Integrating ESG into due diligence practices
- Health and safety compliance within financial and operational activities
- Business integrity policies and anti-corruption measures
- Reporting sustainability risks and compliance gaps
Information Technology Module: Data Governance and Security Compliance
- IT governance frameworks and digital risk management
- Data integrity, retention, and traceability standards
- Regulatory compliance in digital transformation and AI adoption
- Incident response, disaster recovery, and resilience planning
Integrative Module: Governance, Risk, and Audit Readiness
- Consolidating due diligence findings across departments
- Creating integrated compliance dashboards and reporting frameworks
- Preparing for external audits and regulator inspections
- Developing continuous improvement and training plans
Case Studies and Practical Exercises
- Review and classification of sample client and vendor due diligence files
- Simulating a multi-module risk assessment scenario
- Developing a corrective action and monitoring plan
Summary and Next Steps
Requirements
- A solid grasp of financial compliance and risk management processes
- Basic familiarity with tax, regulatory, or AML/KYC concepts
- Experience in client onboarding or governance functions is beneficial
Target Audience
- Compliance and risk management officers
- Legal and audit professionals
- Operational, financial, and IT managers engaged in due diligence processes
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
