Course Outline
Institutional Module: Core Principles of Due Diligence
- An overview of due diligence frameworks within financial institutions
- Examination of governance structures, accountability, and reporting hierarchies
- Linking due diligence with risk management and internal control mechanisms
- Aligning due diligence processes with organizational strategy and compliance culture
Management Module: Leadership and Oversight
- Defining the role of the board and executives in compliance supervision
- Establishing compliance committees and mechanisms for accountability
- Monitoring performance, escalation procedures, and planning corrective actions
- Frameworks for ethical leadership and decision-making
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Applying due diligence in client acquisition and marketing efforts
- Addressing conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and consent in customer interactions
- Monitoring sales practices for compliance adherence and reputational risk
Technical Module: Operational and Data Due Diligence
- Mapping data flows and pinpointing sensitive information
- Assessing system controls and cybersecurity readiness
- 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
- Evaluating financial performance, solvency, and liquidity metrics
- Assessing the financial stability of counterparties and suppliers
- Preventing financial crimes through AML, CFT, and sanctions screening
- Identifying fraud, conducting internal audits, and spotting red flags
Legal and Regulatory Module: CRS, FATCA, and Global Compliance
- Navigating 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 guidelines, MCAA, and local implementations
- Managing penalties, remediation strategies, and reporting duties
Environmental, Health and Safety, and Business Integrity Module
- Integrating ESG criteria into due diligence practices
- Ensuring health and safety compliance in financial and operational activities
- Implementing business integrity policies and anti-corruption measures
- Reporting on sustainability risks and compliance deficiencies
Information Technology Module: Data Governance and Security Compliance
- IT governance frameworks and digital risk management strategies
- 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
- Consolidating due diligence insights across various departments
- Building integrated compliance dashboards and reporting structures
- Preparing for external audits and regulatory inspections
- Formulating continuous improvement and training initiatives
Case Studies and Practical Exercises
- Reviewing and categorizing sample client and vendor due diligence files
- Simulating multi-module risk assessment scenarios
- Creating plans for corrective actions and ongoing monitoring
Summary and Next Steps
Requirements
- A foundational grasp of financial compliance and risk management workflows
- Basic knowledge of tax regulations, AML/KYC standards, or related regulatory concepts
- Prior 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 involved in due diligence workflows
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.
