Course Outline
Institutional Module: The Bedrock of Due Diligence
- A broad perspective on due diligence structures within the financial sector
- Governance models, accountability, and reporting hierarchies
- Coordination with risk management and internal control mechanisms
- Aligning due diligence with organizational strategy and a culture of compliance
Management Module: Leadership and Supervision
- Responsibilities of the board and executive team in overseeing compliance
- Forming compliance committees and establishing accountability systems
- Monitoring performance, managing escalations, and planning corrective measures
- Frameworks for ethical leadership and decision-making
Marketing and Sales Module: Ethical Standards and Client Clarity
- Due diligence during client acquisition and promotional activities
- Addressing conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and consent in customer interactions
- Overseeing sales practices to mitigate compliance and reputational risks
Technical Module: Operational and Data Diligence
- Tracing data flows and pinpointing sensitive information
- Assessing system controls and cybersecurity readiness
- Incorporating technology risk evaluations into compliance reviews
- Utilizing tools and automation for collecting and reporting due diligence data
Financial Module: Financial Soundness and Risk Evaluation
- Analyzing financial performance, solvency, and liquidity metrics
- Assessing counterparties and suppliers for financial stability
- Preventing financial crimes: AML, CFT, and sanctions screening
- Identifying fraud, conducting internal audits, and spotting red flags
Legal and Regulatory Module: CRS, FATCA, and Global Obligations
- Comprehending Common Reporting Standard (CRS) and FATCA mandates
- Due diligence for tax residency, indicia searches, and self-certifications
- Core legal structures: OECD, MCAA, and local implementation
- Managing penalties, remediation efforts, and reporting duties
Environmental, Health, Safety, and Business Integrity Module
- Integrating ESG principles into due diligence practices
- Ensuring health and safety compliance in financial and operational tasks
- Business integrity policies and anti-corruption strategies
- Reporting sustainability risks and compliance shortcomings
Information Technology Module: Data Governance and Security Adherence
- IT governance structures and digital risk oversight
- 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
- Synthesizing due diligence insights across various departments
- Building integrated compliance dashboards and reporting structures
- Readying the organization for external audits and regulatory inspections
- Designing continuous improvement and training roadmaps
Case Studies and Practical Tasks
- Analyzing and categorizing sample client and vendor due diligence files
- Simulating a multi-module risk assessment scenario
- Drafting a corrective action and monitoring strategy
Conclusions and Future Actions
Requirements
- A solid grasp of financial compliance and risk management workflows
- Familiarity with fundamental tax, regulatory, or AML/KYC principles
- Background in client onboarding or governance tasks is advantageous
Target Audience
- Compliance and risk management specialists
- Legal and audit experts
- Operations, finance, and IT managers engaged in due diligence activities
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.
