Course Outline
Institutional Module: Core Principles of Due Diligence
- Examining the scope of due diligence frameworks within financial institutions
- Defining governance structures, accountability lines, and reporting channels
- Connecting due diligence with risk management and internal control systems
- Aligning due diligence efforts with organizational strategy and compliance culture
Management Module: Leadership and Supervision
- Clarifying board and executive duties in overseeing compliance
- Forming compliance committees and establishing accountability mechanisms
- Tracking performance, managing escalations, and planning corrective actions
- Fostering ethical leadership and structured decision-making frameworks
Marketing and Sales Module: Ethical Practices and Client Clarity
- Applying due diligence to client acquisition and marketing initiatives
- Mitigating conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and obtaining proper consent in customer interactions
- Monitoring sales activities to mitigate compliance and reputational risks
Technical Module: Operational and Data Due Diligence
- Tracing data flows and pinpointing sensitive information
- Assessing system controls and overall cybersecurity resilience
- Incorporating technology risk assessments into compliance reviews
- Leveraging tools and automation for efficient data collection and reporting
Financial Module: Integrity and Risk Assessment
- Analyzing financial performance, solvency, and liquidity metrics
- Evaluating the financial stability of counterparties and suppliers
- Preventing financial crime through AML, CFT, and sanctions screening
- Identifying fraud, conducting internal audits, and recognizing red flags
Legal and Regulatory Module: CRS, FATCA, and Global Obligations
- Interpreting the requirements of the Common Reporting Standard (CRS) and FATCA
- Conducting due diligence on tax residency, searching indicia, and processing self-certifications
- Navigating key legal structures including OECD guidelines, MCAA, and domestic laws
- Managing penalties, executing remediation, and fulfilling reporting duties
Environmental, Health, and Safety, and Business Integrity Module
- Embedding ESG criteria into due diligence workflows
- Ensuring health and safety compliance in financial and operational activities
- Implementing business integrity policies and anti-corruption strategies
- Reporting on sustainability risks and identifying compliance gaps
Information Technology Module: Data Governance and Security
- Establishing IT governance frameworks and managing digital risks
- Adhering to data integrity, retention, and traceability standards
- Maintaining regulatory compliance during digital transformation and AI adoption
- Planning incident response, disaster recovery, and organizational resilience
Integrative Module: Governance, Risk, and Audit Preparedness
- Synthesizing due diligence findings across various departments
- Building integrated compliance dashboards and reporting structures
- Preparing for external audits and regulatory inspections
- Designing strategies for continuous improvement and staff training
Case Studies and Hands-On Exercises
- Analyzing and categorizing sample due diligence files for clients and vendors
- Simulating a complex, multi-module risk assessment scenario
- Formulating a corrective action and monitoring plan
Summary and Path Forward
Requirements
- A solid grasp of financial compliance and risk management processes
- Basic familiarity with tax regulations, regulatory frameworks, or AML/KYC concepts
- Prior experience in client onboarding or governance roles is advantageous
Target Audience
- Officers responsible for compliance and risk management
- Professionals in legal and audit functions
- Managers in operations, finance, and IT who oversee 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
