Course Outline
Institutional Module: Core Foundations of Due Diligence
- Survey of due diligence frameworks within the financial sector
- Governance architectures, accountability structures, and reporting hierarchies
- Seamless integration with risk management and internal control mechanisms
- Aligning due diligence strategies with organizational goals and compliance culture
Management Module: Leadership and Supervisory Roles
- Responsibilities of boards and executives in overseeing compliance
- Formation of compliance committees and establishment of accountability systems
- Performance tracking, escalation protocols, and planning for corrective actions
- Fostering ethical leadership and robust decision-making frameworks
Marketing and Sales Module: Ethical Standards and Client Transparency
- Due diligence considerations in client acquisition and marketing initiatives
- Mitigating conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and obtaining consent in customer interactions
- Overseeing sales practices to manage compliance and reputational risks
Technical Module: Operational and Data Integrity Diligence
- Mapping data streams and pinpointing sensitive information
- Assessing system controls and overall cybersecurity posture
- Incorporating technology risk evaluations into compliance reviews
- Leveraging tools and automation for efficient due diligence data collection and reporting
Financial Module: Integrity Assessment and Risk Analysis
- Evaluating financial performance, solvency, and liquidity metrics
- Reviewing counterparties and suppliers for financial stability
- Preventing financial crime through AML, CFT, and sanctions screening
- Identifying fraud, conducting internal audits, and recognizing red flag indicators
Legal and Regulatory Module: CRS, FATCA, and Global Obligations
- Clarifying Common Reporting Standard (CRS) and FATCA mandates
- Conducting due diligence for tax residency, indicator searches, and self-certifications
- Navigating key legal frameworks: OECD, MCAA, and local implementations
- Managing potential penalties, remediation strategies, and reporting duties
Environmental, Health, Safety, and Business Integrity Module
- Embedding ESG considerations into due diligence routines
- Ensuring health and safety compliance across financial and operational activities
- Implementing business integrity policies and anti-corruption protocols
- Documenting sustainability risks and identifying compliance gaps
Information Technology Module: Data Governance and Security Compliance
- IT governance structures and digital risk oversight
- Standards for data integrity, retention, and traceability
- Maintaining regulatory compliance during digital transformation and AI integration
- Planning for incident response, disaster recovery, and organizational resilience
Integrative Module: Governance, Risk, and Audit Preparedness
- Consolidating due diligence insights across various departments
- Building integrated compliance dashboards and reporting structures
- Preparing for external audits and regulatory inspections
- Formulating continuous improvement strategies and training programs
Case Studies and Practical Applications
- Analyzing and categorizing sample client and vendor due diligence records
- Simulating a multi-faceted risk assessment scenario
- Formulating a corrective action and monitoring strategy
Conclusion and Future Directions
Requirements
- A solid grasp of financial compliance and risk management workflows
- Basic familiarity with tax, regulatory, or AML/KYC fundamentals
- Practical experience in client onboarding or governance roles is advantageous
Target Audience
- Compliance and risk management specialists
- Legal and audit professionals
- Managers in operations, finance, and IT engaged 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.
