ISO 37301 Compliance Management Systems Training Course

Participants can define compliance management system scope using organisational context and stakeholder analysis.

• PESTLE analysis of external legal, regulatory and enforcement conditions
• Interested-party mapping for regulators, customers, employees, suppliers and communities
• Internal context analysis covering structure, strategy, culture and delegated authority
• Compliance management system scope boundaries, entities, locations and activities
• Materiality criteria for prioritising applicable obligations and stakeholder expectations
• Context review triggers following acquisitions, new markets and regulatory change

Participants can establish governance arrangements that demonstrate leadership commitment and independent compliance oversight.

• Governing-body responsibilities under ISO 37301 clause five requirements
• Compliance function authority, independence, access and reporting-line design
• RACI matrix for compliance, legal, risk, audit and business ownership
• Delegations of authority aligned with approval thresholds and risk appetite
• Tone from the top evidenced through decisions, resources and communications
• Escalation protocols for material breaches, conflicts and significant investigations

Participants can build an obligations register and assess risks arising from non-compliance.

• Obligations register fields for source, requirement, owner, control and evidence
• Legal horizon scanning using regulator alerts, counsel updates and industry sources
• Risk assessment criteria covering likelihood, impact, velocity and control effectiveness
• Inherent and residual risk ratings documented within a compliance risk register
• Bow-tie analysis linking causes, preventive controls, events and consequences
• Risk appetite statements translated into compliance escalation and treatment thresholds

Participants can set measurable compliance objectives and design controls matched to identified risks.

• SMART compliance objectives linked to material risks and strategic commitments
• Compliance control matrix connecting obligations, risks, activities, owners and evidence
• Preventive, detective and corrective controls selected through risk-based design
• Control frequency, population, evidence and reviewer requirements specified clearly
• Segregation of duties applied to approvals, payments and sensitive decisions
• Key risk indicators and key control indicators for compliance performance
• Annual compliance plan sequenced by risk, resources and regulatory deadlines

Participants can establish the people, communication and documentation arrangements required by ISO 37301.

• Competence matrix for compliance roles, control owners and investigators
• Training needs analysis based on role risk and control responsibilities
• Targeted compliance communications using audience, message, channel and timing
• Policy lifecycle controls for drafting, approval, publication, review and withdrawal
• Document-control rules covering versioning, access, retention and disposal
• Records management for training, due diligence, approvals and investigations

Participants can apply operational compliance controls to high-risk activities and third-party relationships.

• Risk-based due diligence before onboarding agents, suppliers and intermediaries
• Third-party screening against sanctions, watchlists, ownership and adverse media
• Contractual compliance clauses covering audit rights, termination and certifications
• Gifts, hospitality and expenses controls using thresholds, registers and approvals
• Procurement controls addressing bid rigging, conflicts and public-sector integrity
• Mergers and acquisitions due diligence for inherited compliance liabilities
• Control remediation plans following third-party breaches and adverse findings

Participants can design fair reporting, investigation and corrective-action processes for compliance concerns.

• Speak-up channels designed for confidentiality, accessibility and non-retaliation protection
• Triage criteria for allegations, incidents, concerns and regulatory notifications
• Investigation plans defining allegations, scope, evidence, roles and timelines
• Chain-of-custody procedures for documents, devices, interviews and digital evidence
• Root cause analysis using five whys and cause-and-effect diagrams
• Corrective action records specifying containment, actions, owners and due dates
• Lessons-learned communications without compromising confidentiality or legal privilege

Participants can plan assurance activities and evaluate compliance management system performance.

• Monitoring plan aligned to high-risk obligations, controls and compliance objectives
• Control testing methods using walkthroughs, samples, reperformance and inspection
• Internal audit programme based on risk, prior findings and organisational change
• Audit evidence evaluated against ISO 37301 criteria and documented procedures
• Nonconformity grading, findings statements and evidence-based audit reports
• Management review inputs covering performance, changes, resources and improvement opportunities
• Dashboard design using incidents, training, testing, findings and remediation metrics

Participants can assess system maturity and prepare a practical ISO 37301 implementation plan.

• ISO 37301 gap assessment against clauses, evidence and implementation maturity
• Maturity model ratings for governance, risk, controls, assurance and culture
• Prioritisation matrix balancing regulatory exposure, control weakness and implementation effort
• Implementation roadmap with workstreams, milestones, dependencies and accountable owners
• Change-management actions addressing resistance, communications and role clarity
• Evidence pack preparation for certification readiness or independent assurance
• Ninety-day application plan for immediate compliance management system improvements