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*
Contact us for an exact quote and to hear our latest promotions
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.
