Course Outline
Institutional Module: Fundamentals of Due Diligence
- An overview of due diligence frameworks in financial organizations.
- Governance structures, accountability, and reporting hierarchies.
- Aligning due diligence with risk management and internal control systems.
- Syncing due diligence with organizational strategy and compliance culture.
Management Module: Leadership and Oversight
- The role of boards and executives in compliance oversight.
- Setting up compliance committees and accountability mechanisms.
- Performance tracking, issue escalation, and corrective action planning.
- Framing ethical leadership and decision-making.
Marketing and Sales Module: Ethical Conduct and Client Transparency
- Due diligence in client acquisition and marketing efforts.
- Handling conflicts of interest and ensuring transparent disclosures.
- Safeguarding data protection and consent in client communications.
- 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 readiness.
- Incorporating technology risk assessments into compliance reviews.
- Leveraging tools and automation for due diligence data collection and reporting.
Financial Module: Financial Integrity and Risk Analysis
- Evaluating financial performance, solvency, and liquidity metrics.
- Assessing counterparties and suppliers for financial stability.
- Preventing financial crime: AML, CFT, and sanctions screening.
- Fraud detection, internal audits, and identifying red flags.
Legal and Regulatory Module: CRS, FATCA, and Global Compliance Obligations
- Comprehending the Common Reporting Standard (CRS) and FATCA requirements.
- Due diligence for tax residency, indicia searches, and self-certifications.
- Key legal frameworks: OECD, MCAA, and domestic implementation.
- Managing penalties, remediation, and reporting duties.
Environmental, Health and Safety, and Business Integrity Module
- Integrating ESG considerations into due diligence practices.
- Compliance with health and safety standards in financial and operational activities.
- Business integrity policies and anti-corruption initiatives.
- Reporting on sustainability risks and compliance deficiencies.
Information Technology Module: Data Governance and Security Compliance
- IT governance frameworks and digital risk management.
- Standards for data integrity, retention, and traceability.
- Regulatory compliance in digital transformation and AI adoption.
- Incident response, disaster recovery, and resilience strategies.
Integrative Module: Governance, Risk, and Audit Readiness
- Synthesizing due diligence findings across departments.
- Building integrated compliance dashboards and reporting frameworks.
- Preparing for external audits and regulator inspections.
- Formulating continuous improvement and training roadmaps.
Case Studies and Practical Exercises
- Analyzing and categorizing sample client and vendor due diligence files.
- Simulating a multi-module risk assessment scenario.
- Creating a corrective action and monitoring plan.
Summary and Next Steps
Requirements
- A solid grasp of financial compliance and risk management workflows.
- Basic familiarity with tax, regulatory, or AML/KYC concepts.
- Background in client onboarding or governance functions is advantageous.
Target Audience
- Compliance and risk management specialists.
- Legal and audit professionals.
- Operational, financial, and IT managers involved in due diligence processes.
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 4800 € + 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
