Course Outline
Institutional Module: Core Principles of Due Diligence
- An overview of due diligence structures within financial entities
- Defining governance architectures, accountability, and reporting chains
- Aligning due diligence with risk management and internal control mechanisms
- Harmonizing due diligence efforts with organizational strategy and compliance culture
Management Module: Leadership and Supervision
- The role of boards and executives in overseeing compliance
- Forming compliance committees and establishing accountability structures
- Monitoring performance, managing escalations, and planning corrective actions
- Fostering ethical leadership and robust decision-making models
Marketing and Sales Module: Ethical Practices and Client Transparency
- Applying due diligence in client acquisition and marketing efforts
- Addressing conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and obtaining proper consent in customer interactions
- Overseeing sales conduct to mitigate compliance and reputational risks
Technical Module: Operational and Data Due Diligence
- Charting data pathways and pinpointing sensitive information
- Assessing system controls and overall cybersecurity stance
- Incorporating technology risk evaluations into compliance reviews
- Leveraging tools and automation for efficient data collection and reporting
Financial Module: Integrity and Risk Assessment
- Analyzing financial performance, solvency, and liquidity metrics
- Assessing 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 Obligations
- Exploring the requirements of the Common Reporting Standard (CRS) and FATCA
- Conducting due diligence for tax residency, indicia searches, and self-certifications
- Navigating key legal frameworks including OECD standards, MCAA, and domestic laws
- Managing penalties, remediation strategies, and reporting duties
Environmental, Health and Safety, and Business Integrity Module
- Embedding ESG considerations 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 identifying compliance gaps
Information Technology Module: Data Governance and Security Adherence
- Adopting IT governance frameworks and managing digital risks
- Maintaining data integrity, retention policies, and traceability standards
- Meeting regulatory requirements during digital transformation and AI adoption
- Planning incident response, disaster recovery, and resilience strategies
Integrative Module: Governance, Risk, and Audit Preparedness
- Synthesizing due diligence insights across various departments
- Building integrated compliance dashboards and reporting structures
- Getting ready for external audits and regulatory inspections
- Creating plans for continuous improvement and ongoing training
Case Studies and Practical Drills
- Analyzing and categorizing sample client and vendor due diligence records
- Running simulations of multi-module risk assessment scenarios
- Drafting corrective action and monitoring plans
Conclusion and Future Steps
Requirements
- A solid grasp of financial compliance and risk management workflows
- Working knowledge of fundamental tax, regulatory, or AML/KYC concepts
- Prior experience in client onboarding or governance roles is advantageous
Intended Audience
- Officers dedicated to compliance and risk management
- Professionals in legal and audit disciplines
- Managers in operations, finance, and IT engaged 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.
