Risk, Governance & Compliance
ISO 37301:2021 Compliance Management – Lead Auditor
Overview
A professional programme for those who plan, lead and report management-system audits against ISO 37301:2021. It follows the audit principles of ISO 19011 and covers the full audit cycle — from planning and opening meeting to findings, nonconformity grading, reporting and follow-up — through realistic case work and role play.
The standard
About the standard
ISO 37301:2021
Compliance Management System
Specifies requirements for a compliance management system that helps an organization identify its legal, regulatory, contractual and voluntary obligations and manage them in a structured, auditable way. It is grounded in governance concepts such as proportionality, transparency and sustainable practice, and is designed to work for organizations of any type or sector, whether adopted for certification or used purely as internal guidance. The standard covers leadership commitment, compliance risk assessment, controls, training, reporting of concerns and continual review.
Key objectives
- Provide a certifiable framework for identifying and managing compliance obligations
- Embed compliance risk assessment and controls into everyday operations
- Foster a culture of integrity, transparency and accountability
- Provide channels for raising and investigating compliance concerns
- Enable integration with other governance and management system standards
Who uses it
Organizations seeking to manage regulatory and voluntary compliance obligations.
Contribution to the SDGs
Per ISO, ISO 37301 contributes to the following UN Sustainable Development Goals:
Learning outcomes
What you will be able to do
- Interpret the requirements of ISO 37301:2021 in an audit context
- Plan an audit programme and an individual audit, including scope, criteria and sampling
- Lead an audit team and conduct opening and closing meetings
- Collect and evaluate objective evidence through interview, observation and document review
- Grade nonconformities and write clear, defensible audit findings
- Prepare the audit report and follow up corrective actions
Who should attend
Auditors, consultants, management representatives and professionals who want to lead first-, second- or third-party audits.
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