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Course Outline
Institutional Module: Foundations of Due Diligence
- Overview of due diligence frameworks in financial institutions
- Governance structures, accountability, and reporting lines
- Integration with risk management and internal control systems
- Aligning due diligence with organizational strategy and compliance culture
Management Module: Leadership and Oversight
- Board and executive responsibilities in compliance oversight
- Establishing compliance committees and accountability mechanisms
- Performance monitoring, escalation, and corrective action planning
- Ethical leadership and decision-making frameworks
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Due diligence in client acquisition and marketing activities
- Managing conflicts of interest and transparency in disclosures
- Ensuring data protection and consent in customer communications
- Monitoring sales practices for compliance and reputational risk
Technical Module: Operational and Data Due Diligence
- Mapping data flows and identifying sensitive information
- Evaluating system controls and cybersecurity posture
- Integrating technology risk assessments into compliance reviews
- Tools and automation for due diligence data collection and reporting
Financial Module: Financial Integrity and Risk Analysis
- Assessing financial performance, solvency, and liquidity indicators
- Evaluating counterparties and suppliers for financial stability
- Financial crime prevention: AML, CFT, and sanctions screening
- Fraud detection, internal audits, and red flag indicators
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations
- Understanding the Common Reporting Standard (CRS) and FATCA requirements
- Due diligence for tax residency, indicia search, and self-certifications
- Key legal frameworks: OECD, MCAA, and domestic implementation
- Managing penalties, remediation, and reporting obligations
Environmental, Health and Safety, and Business Integrity Module
- ESG integration into due diligence practices
- Health and safety compliance within financial and operational activities
- Business integrity policies and anti-corruption measures
- Reporting sustainability risks and compliance gaps
Information Technology Module: Data Governance and Security Compliance
- IT governance frameworks and digital risk management
- Data integrity, retention, and traceability standards
- Regulatory compliance in digital transformation and AI adoption
- Incident response, disaster recovery, and resilience planning
Integrative Module: Governance, Risk, and Audit Readiness
- Consolidating due diligence findings across departments
- Creating integrated compliance dashboards and reporting frameworks
- Preparing for external audits and regulator inspections
- Developing continuous improvement and training plans
Case Studies and Practical Exercises
- Review and classification of sample client and vendor due diligence files
- Simulating a multi-module risk assessment scenario
- Developing a corrective action and monitoring plan
Summary and Next Steps
Requirements
- Understanding of financial compliance and risk management processes
- Familiarity with basic tax, regulatory, or AML/KYC concepts
- Experience in client onboarding or governance functions is helpful
Audience
- Compliance and risk management officers
- Legal and audit professionals
- Operational, financial, and IT managers involved in due diligence processes
21 Hours
Testimonials (4)
The communication with Fernando has been very clear and open.
Carlos Ernesto Martinez Munoz - Bienes Programados S.A. de C.V.
Course - FinOps
Machine Translated
Personal service and orientated to my needs
ANN - New Vitality Clinic
Course - GnuCash for Business Accounting
The lecturer is very knowledgeable and can substantiate theories with his own personal experiences.
Harry Estipona
Course - Financial Markets
I was benefit from the interesting and clear ideas and suggestions.
