Course Outline
Institutional Module: Fundamentals of Due Diligence
- Survey of due diligence frameworks within financial institutions
- Governance architectures, accountability, and reporting hierarchies
- Alignment with risk management and internal control mechanisms
- Synchronizing due diligence with organizational strategy and compliance culture
Management Module: Leadership and Supervision
- Board and executive duties in compliance oversight
- Formation of compliance committees and accountability structures
- Performance tracking, issue escalation, and corrective action planning
- Ethical leadership and decision-making methodologies
Marketing and Sales Module: Ethical Practices and Client Clarity
- Due diligence in client acquisition and marketing efforts
- Handling conflicts of interest and ensuring transparent disclosures
- Securing data protection and consent in customer interactions
- Oversight of sales practices regarding compliance and reputational risk
Technical Module: Operational and Data Due Diligence
- Mapping data flows and pinpointing sensitive information
- Assessing system controls and cybersecurity status
- Embedding technology risk assessments into compliance reviews
- Utilizing tools and automation for due diligence data gathering and reporting
Financial Module: Financial Soundness and Risk Assessment
- Evaluating financial performance, solvency, and liquidity metrics
- Assessing counterparties and suppliers for financial stability
- Preventing financial crime: AML, CFT, and sanctions screening
- Fraud identification, internal auditing, and red flag detection
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Duties
- Comprehending Common Reporting Standard (CRS) and FATCA mandates
- Due diligence for tax residency, indicia investigation, and self-certification
- Core legal frameworks: OECD, MCAA, and domestic execution
- Handling penalties, remediation, and reporting responsibilities
Environmental, Health and Safety, and Business Integrity Module
- Incorporating ESG into due diligence practices
- Health and safety compliance in financial and operational activities
- Business integrity policies and anti-corruption strategies
- Reporting on sustainability risks and compliance shortcomings
Information Technology Module: Data Governance and Security Adherence
- IT governance models and digital risk management
- Standards for data integrity, retention, and traceability
- Regulatory compliance in digital transformation and AI integration
- Incident response, disaster recovery, and resilience strategies
Integrative Module: Governance, Risk, and Audit Preparation
- Consolidating due diligence insights across departments
- Building unified compliance dashboards and reporting structures
- Preparing for external audits and regulatory inspections
- Formulating continuous improvement and training roadmaps
Case Studies and Practical Drills
- Examining and categorizing sample client and vendor due diligence records
- Simulating a multi-module risk assessment scenario
- Constructing a corrective action and monitoring strategy
Conclusion and Future Actions
Requirements
- Foundational knowledge of financial compliance and risk management procedures
- Awareness of basic tax, regulatory, or AML/KYC principles
- Background in client onboarding or governance roles is beneficial
Target Audience
- Compliance and risk management specialists
- Legal and audit professionals
- Managers in operations, finance, and IT involved in due diligence workflows
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
