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 (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.
