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 (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.
