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ISO 37301 Compliance Management Systems — Requirements and Internal Auditor

$18,000.00

ISO 37301 provides a globally recognised framework for compliance management across any compliance risk area. This course covers every clause of the standard and develops participants' ability to audit against it.

The requirements component addresses compliance obligations identification, risk assessment methodology, policy and procedure frameworks, competence and awareness, operational controls, monitoring, and management review.

The internal auditor component covers audit planning, process-based audit techniques, evaluating controls against compliance obligations, writing nonconformities and observations, and audit reporting. Participants work through a simulated audit of a compliance management system.

Suitable for compliance officers, legal teams, risk managers, and those with internal audit responsibilities across compliance programmes..

ISO 37301 provides a globally recognised framework for compliance management across any compliance risk area. This course covers every clause of the standard and develops participants' ability to audit against it.

The requirements component addresses compliance obligations identification, risk assessment methodology, policy and procedure frameworks, competence and awareness, operational controls, monitoring, and management review.

The internal auditor component covers audit planning, process-based audit techniques, evaluating controls against compliance obligations, writing nonconformities and observations, and audit reporting. Participants work through a simulated audit of a compliance management system.

Suitable for compliance officers, legal teams, risk managers, and those with internal audit responsibilities across compliance programmes..

Certification to ISO 37301 can be for your entire compliance system or a particular compliance area (e.g ethics, privacy, AML). Certification reduces your exposure to prosecution, lowers regulatory risk, improves ESG ratings, and demonstrates integrity to clients and counterparties.

Key Learnings.

Build your CMS.

How to design, document, and maintain a conforming compliance management system

Audit your CMS.

How to conduct internal audits, write findings, and produce audit reports that drive improvement

Certify your CMS.

How to identify and classify nonconformities and prepare for certification.

Why this course?

If you are looking to gain a certification for your compliance management system, this is the starter course for anyone working on the system. The course is practical, provides great examples of how to build a CMS and engages participants to take a risk based approach to building and maintaining their CMS.

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Speeki Executive Education courses are built for immediate application — not just awareness.

Every course equips you and your team with the practical skills and confidence to implement what you have learned from day one. Whether you are building a compliance management system from the ground up or strengthening an existing programme, our faculty delivers the working knowledge your organisation needs to manage compliance risk with credibility and conviction.”

Scott Lane, Lead Educator, Compliance