Course Outline
Institutional Module: Foundations of Due Diligence
- Survey of due diligence frameworks within financial institutions
- Defining governance structures, accountability, and reporting hierarchies
- Alignment with risk management and internal control mechanisms
- Syncing due diligence with organizational strategy and compliance culture
Management Module: Leadership and Oversight
- Board and executive duties in supervising compliance
- Formation of compliance committees and accountability structures
- Tracking performance, managing escalations, and planning corrective measures
- Frameworks for ethical leadership and decision-making
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Applying due diligence to client acquisition and marketing initiatives
- Addressing conflicts of interest and ensuring disclosure transparency
- Safeguarding data protection and consent in client interactions
- Overseeing sales practices to mitigate compliance and reputational risks
Technical Module: Operational and Data Due Diligence
- Mapping data flows and pinpointing sensitive information
- Assessing system controls and cybersecurity status
- Embedding technology risk evaluations into compliance reviews
- Leveraging tools and automation for due diligence data collection and reporting
Financial Module: Financial Integrity and Risk Analysis
- Reviewing financial performance, solvency, and liquidity metrics
- Evaluating the financial stability of counterparties and suppliers
- Preventing financial crime through AML, CFT, and sanctions screening
- Identifying fraud, conducting internal audits, and recognizing red flags
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations
- Interpreting Common Reporting Standard (CRS) and FATCA requirements
- Conducting due diligence for tax residency, indicia searches, and self-certifications
- Key legal frameworks: OECD, MCAA, and local regulatory implementations
- Handling penalties, remediation, and reporting duties
Environmental, Health and Safety, and Business Integrity Module
- Incorporating ESG considerations into due diligence practices
- Ensuring health and safety compliance in financial and operational activities
- Implementing business integrity policies and anti-corruption strategies
- Reporting on sustainability risks and compliance deficiencies
Information Technology Module: Data Governance and Security Compliance
- IT governance frameworks and digital risk oversight
- Standards for data integrity, retention, and traceability
- Maintaining regulatory compliance during digital transformation and AI adoption
- Planning for incident response, disaster recovery, and resilience
Integrative Module: Governance, Risk, and Audit Readiness
- Synthesizing due diligence insights across various departments
- Building unified compliance dashboards and reporting structures
- Readying the organization for external audits and regulator inspections
- Formulating strategies for continuous improvement and training
Case Studies and Practical Exercises
- Analyzing and categorizing sample client and vendor due diligence records
- Simulating complex, multi-module risk assessment scenarios
- Drafting corrective action and monitoring plans
Summary and Next Steps
Requirements
- A solid grasp of 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
- Officers in compliance and risk management
- Professionals in legal and audit functions
- Managers in operations, finance, and IT involved 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
