Course Outline
Institutional Module: Core Principles of Due Diligence
- Exploring due diligence architectures within financial institutions.
- Examining governance structures, accountability mechanisms, and reporting hierarchies.
- Harmonising due diligence with risk management and internal control systems.
- Aligning due diligence strategies with organisational goals and compliance culture.
Management Module: Leadership and Supervision
- Defining board and executive duties in compliance oversight.
- Forming compliance committees and establishing accountability frameworks.
- Monitoring performance, managing escalation, and planning corrective actions.
- Applying ethical leadership and decision-making models.
Marketing and Sales Module: Ethical Behaviour and Client Transparency
- Integrating due diligence into client acquisition and marketing efforts.
- Managing conflicts of interest and ensuring transparent disclosures.
- Guaranteeing data protection and consent in customer interactions.
- Overseeing sales practices to mitigate compliance and reputational risks.
Technical Module: Operational and Data Due Diligence
- Mapping data flows and pinpointing sensitive information.
- Assessing system controls and cybersecurity status.
- Incorporating technology risk evaluations into compliance reviews.
- Leveraging tools and automation for data collection and reporting in due diligence.
Financial Module: Financial Integrity and Risk Assessment
- Evaluating financial performance, solvency, and liquidity metrics.
- Assessing the financial stability of counterparties and suppliers.
- Preventing financial crime through AML, CFT, and sanctions screening.
- Detecting fraud, conducting internal audits, and identifying red flags.
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Duties
- Interpreting Common Reporting Standard (CRS) and FATCA mandates.
- Conducting due diligence for tax residency, indicia searches, and self-certifications.
- Reviewing key legal frameworks: OECD standards, MCAA, and domestic application.
- Handling penalties, remediation processes, and reporting obligations.
Environmental, Health, Safety, and Business Integrity Module
- Integrating ESG criteria into due diligence practices.
- Maintaining health and safety compliance in financial and operational activities.
- Implementing business integrity policies and anti-corruption controls.
- Reporting on sustainability risks and compliance deficiencies.
Information Technology Module: Data Governance and Security Compliance
- Applying IT governance frameworks and digital risk management.
- Upholding standards for data integrity, retention, and traceability.
- Ensuring regulatory compliance in digital transformation and AI adoption.
- Planning for incident response, disaster recovery, and resilience.
Integrative Module: Governance, Risk, and Audit Preparedness
- Synthesising due diligence insights across various departments.
- Building unified compliance dashboards and reporting structures.
- Preparing for external audits and regulatory inspections.
- Formulating continuous improvement and training strategies.
Case Studies and Practical Applications
- Analyzing and categorizing sample client and vendor due diligence records.
- Simulating complex, multi-module risk assessment scenarios.
- Constructing corrective action and monitoring plans.
Conclusion and Path Forward
Requirements
- A solid grasp of financial compliance and risk management procedures.
- Basic familiarity with 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 practitioners.
- Operational, financial, and IT managers engaged in due diligence activities.
Custom Corporate Training
Training solutions designed exclusively for businesses.
- Customized Content: We adapt the syllabus and practical exercises to the real goals and needs of your project.
- Flexible Schedule: Dates and times adapted to your team's agenda.
- Format: Online (live), In-company (at your offices), or Hybrid.
Price per private group, online live training, starting from 3900 € + VAT*
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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
