Course Outline
Institutional Module: Core Principles of Due Diligence
- Introduction to due diligence frameworks within the financial sector
- Defining governance structures, accountability, and reporting hierarchies
- Linking due diligence with risk management and internal control mechanisms
- Aligning due diligence efforts with organizational strategy and a culture of compliance
Management Module: Leadership and Oversight
- The role of boards and executives in supervising compliance
- Setting up compliance committees and establishing accountability systems
- Tracking performance, managing escalations, and planning corrective actions
- Fostering ethical leadership and robust decision-making structures
Marketing and Sales Module: Ethical Standards and Client Clarity
- Applying due diligence during client acquisition and marketing efforts
- Navigating conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and securing consent in customer interactions
- Overseeing sales practices to mitigate compliance and reputational risks
Technical Module: Operational and Data Integrity
- Mapping data flows to pinpoint sensitive information
- Assessing system controls and the current state of cybersecurity
- Incorporating technology risk assessments into compliance evaluations
- Leveraging tools and automation for efficient due diligence data gathering and reporting
Financial Module: Integrity and Risk Assessment
- Analyzing financial health through performance, solvency, and liquidity metrics
- Reviewing the financial stability of counterparties and suppliers
- Preventing financial crime through AML, CFT, and sanctions checks
- Identifying fraud, conducting internal audits, and recognizing warning signs
Legal and Regulatory Module: CRS, FATCA, and Global Obligations
- Exploring the requirements of the Common Reporting Standard (CRS) and FATCA
- Conducting due diligence on tax residency, indicia searches, and self-certifications
- Key legal structures: OECD guidelines, MCAA, and local implementation
- Handling penalties, remediation strategies, and reporting duties
ESG and Business Integrity Module
- Incorporating ESG criteria into due diligence routines
- Ensuring health and safety compliance across financial and operational activities
- Implementing business integrity policies and anti-corruption controls
- Reporting on sustainability risks and compliance deficiencies
Information Technology Module: Data Governance and Security
- IT governance frameworks and managing digital risks
- Standards for data integrity, retention, and traceability
- Regulatory compliance during digital transformation and AI implementation
- Planning for incident response, disaster recovery, and resilience
Integrative Module: Governance, Risk, and Audit Preparation
- Synthesizing due diligence findings across various departments
- Building unified compliance dashboards and reporting structures
- Getting ready for external audits and regulatory inspections
- Formulating strategies for continuous improvement and staff development
Case Studies and Practical Applications
- Analyzing and categorizing sample client and vendor due diligence files
- Running a simulated multi-module risk assessment scenario
- Formulating a plan for corrective actions and ongoing monitoring
Wrap-up and Future Directions
Requirements
- Basic knowledge of financial compliance and risk management procedures
- General awareness of fundamental tax, regulatory, or AML/KYC concepts
- Background in client onboarding or governance roles is advantageous
Target Audience
- Professionals in compliance and risk management
- Legal and audit specialists
- Managers in operations, finance, and IT responsible for 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
