Course Outline
Institutional Module: Core Foundations of Due Diligence
- Survey of due diligence frameworks within financial institutions
- Structures of governance, accountability, and reporting lines
- Integration with risk management and internal control systems
- Aligning due diligence with organizational strategy and compliance culture
Management Module: Leadership and Oversight
- Board and executive duties in compliance oversight
- Establishing compliance committees and accountability mechanisms
- Monitoring performance, escalating issues, and planning corrective actions
- Framing ethical leadership and decision-making
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Due diligence in client acquisition and marketing activities
- Managing conflicts of interest and ensuring transparent disclosures
- Safeguarding data protection and consent in customer communications
- Monitoring sales practices for compliance and reputational risk
Technical Module: Operational and Data Due Diligence
- Mapping data flows and identifying sensitive information
- Evaluating system controls and cybersecurity posture
- Integrating technology risk assessments into compliance reviews
- Tools and automation for due diligence data collection and reporting
Financial Module: Financial Integrity and Risk Analysis
- Assessing financial performance, solvency, and liquidity indicators
- Evaluating counterparties and suppliers for financial stability
- Preventing financial crime: AML, CFT, and sanctions screening
- Detecting fraud, conducting internal audits, and identifying red flags
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations
- Understanding Common Reporting Standard (CRS) and FATCA requirements
- Due diligence for tax residency, indicia search, and self-certifications
- Key legal frameworks: OECD, MCAA, and domestic implementation
- Managing penalties, remediation, and reporting obligations
Environmental, Health and Safety, and Business Integrity Module
- ESG integration into due diligence practices
- Health and safety compliance within financial and operational activities
- Business integrity policies and anti-corruption measures
- Reporting sustainability risks and compliance gaps
Information Technology Module: Data Governance and Security Compliance
- IT governance frameworks and digital risk management
- Data integrity, retention, and traceability standards
- Regulatory compliance in digital transformation and AI adoption
- Incident response, disaster recovery, and resilience planning
Integrative Module: Governance, Risk, and Audit Readiness
- Consolidating due diligence findings across departments
- Creating integrated compliance dashboards and reporting frameworks
- Preparing for external audits and regulator inspections
- Developing continuous improvement and training plans
Case Studies and Practical Exercises
- Review and classification of sample client and vendor due diligence files
- Simulating a multi-module risk assessment scenario
- Developing a corrective action and monitoring plan
Summary and Next Steps
Requirements
- A foundational understanding of financial compliance and risk management workflows
- Basic knowledge of tax, regulatory, or AML/KYC principles
- Professional experience in client onboarding or governance roles is an asset
Target Audience
- Officers responsible for compliance and risk management
- Professionals in legal and audit disciplines
- 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
