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 (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
