Course Outline
Institutional Module: The Foundations of Due Diligence
- An overview of due diligence structures within the financial sector.
- Examining governance architectures, accountability models, and reporting hierarchies.
- Aligning due diligence with risk management and internal control mechanisms.
- Synchronizing due diligence practices with organizational strategy and compliance culture.
Management Module: Leadership and Oversight
- Defining the responsibilities of the board and executives in compliance supervision.
- Forming compliance committees and establishing robust accountability systems.
- Monitoring performance, managing escalations, and planning corrective actions.
- Fostering ethical leadership and sound decision-making frameworks.
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Applying due diligence standards to client acquisition and marketing efforts.
- Navigating conflicts of interest and ensuring transparent disclosures.
- Safeguarding data protection and consent within customer communications.
- Oversight of sales practices to mitigate compliance and reputational risks.
Technical Module: Operational and Data Due Diligence
- Mapping data streams and pinpointing sensitive information assets.
- Assessing system controls and the overall cybersecurity posture.
- Embedding technology risk assessments into compliance review processes.
- Leveraging tools and automation for efficient due diligence data collection and reporting.
Financial Module: Financial Integrity and Risk Analysis
- Evaluating key indicators of financial performance, solvency, and liquidity.
- Assessing the financial stability of counterparties and suppliers.
- Preventing financial crime through AML, CFT, and sanctions screening protocols.
- Identifying fraud, conducting internal audits, and recognizing red flag indicators.
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations
- Deciphering the requirements of the Common Reporting Standard (CRS) and FATCA.
- Conducting due diligence for tax residency, indicia searches, and self-certifications.
- Interpreting key legal frameworks, including OECD guidelines, MCAA, and local implementation rules.
- Managing potential penalties, remediation strategies, and reporting duties.
Environmental, Health and Safety, and Business Integrity Module
- Integrating ESG considerations into due diligence methodologies.
- Ensuring health and safety compliance across financial and operational activities.
- Implementing business integrity policies and anti-corruption measures.
- Reporting on sustainability risks and identifying compliance gaps.
Information Technology Module: Data Governance and Security Compliance
- Adopting IT governance frameworks and digital risk management practices.
- Maintaining standards for data integrity, retention, and traceability.
- Navigating regulatory compliance during digital transformation and AI integration.
- Planning for incident response, disaster recovery, and organizational resilience.
Integrative Module: Governance, Risk, and Audit Readiness
- Synthesizing due diligence findings across various departments.
- Building integrated compliance dashboards and reporting structures.
- Preparing teams 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 a complex, multi-module risk assessment scenario.
- Drafting a plan for corrective actions and ongoing monitoring.
Summary and Next Steps
Requirements
- A solid grasp of financial compliance and risk management workflows.
- Familiarity with fundamental concepts in taxation, regulation, or AML/KYC.
- Background experience in client onboarding or governance functions is an advantage.
Target Audience
- Compliance and risk management professionals.
- Legal counsel and audit specialists.
- Managers in operations, finance, and IT who participate in due diligence processes.
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.
