Course Outline
Institutional Module: The Foundations of Due Diligence
- An overview of due diligence structures within financial institutions
- Governance architectures, accountability lines, and reporting channels
- Alignment with risk management and internal control mechanisms
- Aligning due diligence efforts with organizational strategy and a strong compliance culture
Management Module: Leadership and Oversight
- The responsibilities of boards and executives in supervising compliance
- Setting up compliance committees and robust accountability mechanisms
- Tracking performance, escalating issues, and planning corrective actions
- Fostering ethical leadership and sound decision-making frameworks
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Applying due diligence in client acquisition and marketing efforts
- Handling conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and obtaining proper consent in client communications
- Monitoring sales practices to mitigate compliance and reputational risks
Technical Module: Operational and Data Due Diligence
- Mapping data flows and pinpointing sensitive information
- Assessing system controls and the overall cybersecurity stance
- Incorporating technology risk evaluations into compliance reviews
- Leveraging tools and automation for collecting and reporting due diligence data
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 recognizing red flags
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations
- Comprehending the requirements of the Common Reporting Standard (CRS) and FATCA
- Conducting due diligence on tax residency, searching for indicia, and verifying self-certifications
- Navigating key legal frameworks, including OECD guidelines, MCAA, and local implementations
- Managing potential penalties, remediation strategies, and reporting duties
Environmental, Health, Safety, and Business Integrity Module
- Weaving ESG considerations into due diligence practices
- Ensuring health and safety compliance across financial and operational activities
- Implementing business integrity policies and anti-corruption safeguards
- 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
- Maintaining regulatory compliance during digital transformation and AI adoption
- Planning for incident response, disaster recovery, and operational resilience
Integrative Module: Governance, Risk, and Audit Readiness
- Synthesizing due diligence findings across various departments
- Building integrated compliance dashboards and reporting structures
- Getting ready for external audits and regulatory inspections
- Formulating plans for continuous improvement and ongoing training
Case Studies and Practical Exercises
- Reviewing and categorizing sample client and vendor due diligence files
- Simulating complex, multi-module risk assessment scenarios
- Formulating corrective action and monitoring plans
Summary and Next Steps
Requirements
- A solid grasp of financial compliance and risk management workflows
- Basic familiarity with tax regulations, regulatory frameworks, or AML/KYC principles
- Background experience in client onboarding or governance roles is an advantage
Target Audience
- Compliance and risk management specialists
- Legal and audit experts
- Managers in operations, finance, and IT who are 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
