Course Outline
Institutional Module: Core Principles of Due Diligence
- Survey of due diligence structures within financial institutions
- Governance hierarchies, responsibility allocation, and reporting chains
- Harmonizing due diligence with risk management and internal control mechanisms
- Aligning due diligence efforts with organizational strategy and compliance ethos
Management Module: Leadership and Supervision
- Board and executive duties in compliance oversight
- Forming compliance committees and accountability structures
- Monitoring performance, escalating issues, and planning corrective actions
- Frameworks for ethical leadership and decision-making
Marketing and Sales Module: Ethical Behavior and Client Clarity
- Due diligence in client acquisition and promotional activities
- Addressing conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and consent in client communications
- Oversight of sales practices for compliance and reputational safety
Technical Module: Operational and Data Verification
- Tracing data flows and pinpointing sensitive information
- Assessing system controls and cybersecurity readiness
- Incorporating technology risk assessments into compliance reviews
- Utilizing tools and automation for gathering and reporting due diligence data
Financial Module: Integrity and Risk Evaluation
- Analyzing financial performance, solvency, and liquidity metrics
- Assessing the financial stability of counterparties and suppliers
- Preventing financial crime through AML, CFT, and sanctions checks
- Identifying fraud, conducting internal audits, and spotting red flags
Legal and Regulatory Module: CRS, FATCA, and Global Obligations
- Interpreting Common Reporting Standard (CRS) and FATCA mandates
- Due diligence for tax residency, indicative searches, and self-certifications
- Key legal structures: OECD, MCAA, and domestic enforcement
- Handling penalties, remediation, and reporting duties
Environmental, Health, Safety, and Business Integrity Module
- Incorporating ESG criteria into due diligence practices
- Health and safety compliance in financial and operational activities
- Business integrity policies and anti-corruption strategies
- Documenting sustainability risks and compliance shortfalls
Information Technology Module: Data Governance and Security Adherence
- IT governance models and digital risk oversight
- Standards for data integrity, retention, and traceability
- Regulatory compliance in digital transformation and AI implementation
- Incident response, disaster recovery, and resilience planning
Integrative Module: Governance, Risk, and Audit Preparation
- Synthesizing due diligence insights across departments
- Building integrated compliance dashboards and reporting structures
- Getting ready for external audits and regulator examinations
- Crafting continuous improvement and training roadmaps
Case Studies and Practical Drills
- Examining and categorizing sample client and vendor due diligence records
- Simulating a complex, multi-module risk assessment scenario
- Formulating a corrective action and monitoring strategy
Wrap-up and Future Directions
Requirements
- A solid grasp of financial compliance and risk management workflows
- Acquaintance with fundamental tax, regulatory, or AML/KYC concepts
- Background in client onboarding or governance functions is advantageous
Target Audience
- Compliance and risk management specialists
- Legal counsel and audit professionals
- 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
