Course Outline
Institutional Core: Principles of Due Diligence
- Fundamentals of due diligence frameworks within financial entities
- Governance hierarchies, accountability structures, and reporting channels
- Alignment with risk management and internal control mechanisms
- Integrating due diligence with organizational strategy and compliance culture
Leadership Module: Direction and Supervision
- Roles of the board and executives in oversight of compliance
- Formation of compliance committees and accountability structures
- Performance tracking, escalation protocols, and remediation planning
- Frameworks for ethical leadership and strategic decision-making
Marketing and Sales Module: Ethical Practices and Client Clarity
- Due diligence considerations in client acquisition and promotional activities
- Mitigating conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and obtaining proper consent in customer interactions
- Overseeing sales practices to manage compliance and reputational risks
Technical Module: Operational and Data Scrutiny
- Tracing data flows and pinpointing sensitive information
- Assessing system controls and cybersecurity defenses
- Incorporating technology risk evaluations into compliance reviews
- Leveraging tools and automation for data collection and reporting
Financial Module: Integrity and Risk Assessment
- Analyzing financial performance, solvency, and liquidity metrics
- Reviewing counterparties and suppliers for financial robustness
- Preventing financial crimes through AML, CFT, and sanctions screening
- Identifying fraud, conducting internal audits, and recognizing warning signs
Legal and Regulatory Module: CRS, FATCA, and Global Obligations
- Interpreting Common Reporting Standard (CRS) and FATCA mandates
- Conducting due diligence for tax residency, indicia checks, and self-certifications
- Key regulatory frameworks: OECD, MCAA, and local implementation
- Addressing penalties, remediation, and reporting duties
ESG and Business Integrity Module
- Embedding ESG principles into due diligence practices
- Adhering to health and safety standards in financial and operational activities
- Implementing business integrity policies and anti-corruption controls
- Reporting on sustainability risks and compliance deficiencies
IT Module: Data Governance and Security Adherence
- IT governance models and digital risk oversight
- Standards for data integrity, retention, and traceability
- Regulatory compliance during digital transformation and AI integration
- Incident management, disaster recovery, and business continuity planning
Integrative Module: Governance, Risk, and Audit Preparedness
- Consolidating due diligence insights across various departments
- Building unified compliance dashboards and reporting structures
- Preparing for external audits and regulatory inspections
- Formulating continuous improvement and upskilling strategies
Case Studies and Applied Exercises
- Analyzing and categorizing sample client and vendor due diligence files
- Simulating a multi-faceted risk assessment scenario
- Constructing a remedial action and monitoring strategy
Recap and Future Actions
Requirements
- Basic grasp of financial compliance and risk management workflows
- General awareness of fundamental tax, regulatory, or AML/KYC principles
- Practical experience in client onboarding or governance roles is advantageous
Target Audience
- Compliance and risk management specialists
- Legal and audit experts
- Managers in operations, finance, and IT involved 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
