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 (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
