Governance, Risk & Compliance
Third-Party Compliance and Due Diligence
This practical course develops directly applicable capability in Third-Party Compliance and Due Diligence. Participants work in depth on Third-Party Risk Segmentation, and Ownership and Identity Checks, and Integrity and Capability Review, then convert the methods into tools and actions suited to their workplace.
Objectives
- Apply the principles and methods of third-party risk segmentation in a workplace context.
- Apply the principles and methods of ownership and identity checks in a workplace context.
- Apply the principles and methods of integrity and capability review in a workplace context.
- Apply the principles and methods of approval and contract controls in a workplace context.
- Apply the principles and methods of ongoing monitoring in a workplace context.
- Apply the principles and methods of case decision workshop in a workplace context.
Target audience
- Professionals responsible for the subject area
- Managers and supervisors
- Analysts, coordinators, and specialists
- Project and improvement teams
- Employees preparing for broader responsibilities
Program outline
A clear structure for the learning journey.
Program outline
Outline points are grouped in one designed block instead of being treated as separate module cards.
Module 1: Third-Party Risk Segmentation
Supplier, agent, distributor, consultant, and partner roles
Country, service, access, payment, and influence risk
Risk-tiering and due-diligence depth
Module 2: Ownership and Identity Checks
Legal identity, beneficial ownership, and control
Sanctions, watchlists, politically exposed persons, and adverse media
Resolving name matches and incomplete information
Module 3: Integrity and Capability Review
Qualifications, reputation, resources, and delivery capacity
Bribery, fraud, conflict, and human-rights red flags
References, explanations, and corroborating evidence
Module 4: Approval and Contract Controls
Independent review and exception authority
Compliance representations, audit, termination, and notification clauses
Fees, payment routes, and scope clarity
Module 5: Ongoing Monitoring
Risk-based screening and periodic refresh
Transaction, performance, and behavioral warning signs
Change events and escalation triggers
Module 6: Case Decision Workshop
Documenting approve, condition, reject, or investigate decisions
Remediation and enhanced monitoring plans
Building a defensible due-diligence file
Materials provided
- ○ Course-specific presentation slides
- ○ Practical exercises and facilitated activities
- ○ Course-specific worksheets, checklists, and templates
- ○ Applied workplace case studies
- ○ 4D Certificate of Completion issued by 4D Training & Consultancy
- ○ Post-course support for implementation questions
Training Options
Programs can be delivered in-house, online, or in a blended format depending on your team's schedule, location, and learning objectives. When an external certificate or exam is included, certification rules and fees remain under the relevant awarding body's policies, while 4D provides the training and preparation support.
Why choose 4D
4D adapts this program to the participant group and workplace context. Delivery combines structured explanation with course-specific exercises, realistic cases, working tools, and an action-planning component so participants can transfer the learning to their roles.
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