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.
Outline points are grouped in one designed block instead of being treated as separate module cards.
01Third-Party Risk Segmentation3 topics
- Supplier, agent, distributor, consultant, and partner roles
- Country, service, access, payment, and influence risk
- Risk-tiering and due-diligence depth
02Ownership and Identity Checks3 topics
- Legal identity, beneficial ownership, and control
- Sanctions, watchlists, politically exposed persons, and adverse media
- Resolving name matches and incomplete information
03Integrity and Capability Review3 topics
- Qualifications, reputation, resources, and delivery capacity
- Bribery, fraud, conflict, and human-rights red flags
- References, explanations, and corroborating evidence
04Approval and Contract Controls3 topics
- Independent review and exception authority
- Compliance representations, audit, termination, and notification clauses
- Fees, payment routes, and scope clarity
05Ongoing Monitoring3 topics
- Risk-based screening and periodic refresh
- Transaction, performance, and behavioral warning signs
- Change events and escalation triggers
06Case Decision Workshop3 topics
- 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.
Related courses
Enterprise Risk Management Based on ISO 31000
This practical course develops directly applicable capability in Enterprise Risk Management Based on ISO 31000. Participants work in depth on ISO 31000 Principles and Framework, and Risk Context and Criteria, and Risk Identification, then convert the methods into tools and actions suited to their workplace.
View courseCompliance Management Systems Based on ISO 37301
This practical course develops directly applicable capability in Compliance Management Systems Based on ISO 37301. Participants work in depth on Compliance Management Context, and Compliance Obligations, and Compliance Risk Assessment, then convert the methods into tools and actions suited to their workplace.
View courseAnti-Bribery Management Systems Based on ISO 37001
This practical course develops directly applicable capability in Anti-Bribery Management Systems Based on ISO 37001. Participants work in depth on Bribery Risk and ISO 37001, and Bribery Risk Assessment, and Financial and Nonfinancial Controls, then convert the methods into tools and actions suited to their workplace.
View course