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 (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.
