Course Outline
Institutional Module: Foundations of Due Diligence
- An overview of due diligence frameworks within financial institutions
- Examining governance structures, accountability, and reporting hierarchies
- Integrating due diligence with risk management and internal control systems
- Aligning due diligence initiatives with organizational strategy and compliance culture
Management Module: Leadership and Oversight
- Defining board and executive responsibilities in compliance oversight
- Setting up compliance committees and establishing accountability mechanisms
- Monitoring performance, managing escalations, and planning corrective actions
- Fostering ethical leadership and sound decision-making frameworks
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Applying due diligence to client acquisition and marketing activities
- Managing conflicts of interest and ensuring transparent disclosures
- Protecting data and securing consent in all customer communications
- Monitoring sales practices to mitigate compliance and reputational risks
Technical Module: Operational and Data Due Diligence
- Mapping data flows to identify sensitive information
- Evaluating system controls and overall cybersecurity posture
- Incorporating technology risk assessments into compliance reviews
- Leveraging tools and automation for due diligence data collection and reporting
Financial Module: Financial Integrity and Risk Analysis
- Assessing financial performance, solvency, and liquidity indicators
- Evaluating the financial stability of counterparties and suppliers
- Preventing financial crime through AML, CFT, and sanctions screening
- Identifying fraud, conducting internal audits, and spotting red flag indicators
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations
- Understanding the requirements of the Common Reporting Standard (CRS) and FATCA
- Conducting due diligence for tax residency, indicia searches, and self-certifications
- Key legal frameworks including OECD standards, MCAA, and domestic implementation
- Managing penalties, remediation efforts, and reporting duties
Environmental, Health and Safety, and Business Integrity Module
- Integrating ESG criteria into due diligence practices
- Ensuring health and safety compliance across financial and operational activities
- Implementing business integrity policies and anti-corruption measures
- Reporting on sustainability risks and identifying compliance gaps
Information Technology Module: Data Governance and Security Compliance
- Establishing IT governance frameworks and managing digital risks
- Adhering to data integrity, retention, and traceability standards
- Ensuring regulatory compliance during digital transformation and AI adoption
- Planning incident response, disaster recovery, and organizational resilience
Integrative Module: Governance, Risk, and Audit Readiness
- Consolidating due diligence findings across various departments
- Creating integrated compliance dashboards and robust reporting frameworks
- Preparing teams for external audits and regulator inspections
- Developing strategies for continuous improvement and staff training
Case Studies and Practical Exercises
- Reviewing and classifying sample client and vendor due diligence files
- Simulating multi-module risk assessment scenarios
- Developing corrective action and monitoring plans
Summary and Next Steps
Requirements
- A solid grasp of financial compliance and risk management processes
- Basic familiarity with tax regulations, legal frameworks, or AML/KYC concepts
- Background 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 who are 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
