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 (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
