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ISO 37301 Compliance Management Systems Lead Auditor Training Course Outline
Module 1: Introduction to ISO 37301
- Scope
- Normative References
- Terms and Definitions
Module 2: Introduction of Compliance
- What is Compliance?
- Compliance Types
Module 3: Compliance Department
- What is Compliance Monitoring?
- Department Members
- Functions of Compliance Officer
- Common Areas of Compliance
Module 4: Compliance Management System (CMS)
- Compliance Management
- Compliance Management System
- Elements
- Who is Responsible for Compliance Management?
- Risk-Based Compliance Management Solutions
Module 5: Context of the Organisation
- Understanding the
- Organisation and its Context
- Needs and Expectations of Interested Parties
- Determining the Scope of the Compliance Management System
- Compliance
- Management System
- Obligations
- Risk Assessment
Module 6: Leadership
- Leadership and Commitment
- Compliance Policy
- Roles, Responsibilities, and Authorities
Module 7: Planning
- Actions to Address Risks and Opportunities
- Compliance Objectives and Planning to Achieve Them
- Planning of Changes
Module 8: Compliance Audit
- Purpose
- How are Compliance Audits Conducted?
- Internal Vs Compliance Audit
- Compliance Audit Procedures
- Understanding Compliance Auditing
- General Principles
Module 9: Compliance Audit Plan
- Audit Universe and Annual Compliance Audit Plans
- Apex Auditable Entities and Audit Units
- Risk Profiling
- Annual Compliance Audit Plans
- Preparing
- Components
Module 10: Support
- Resources
- Competence
- Awareness
- Communication
- Documented Information
Module 11: Operation
- Operational Planning and Control
- Establishing Controls and Procedures
- Raising Concerns
- Investigation Processes
Module 12: Performance Evaluation
- Monitoring, Measurement, Analysis, and Evaluation
- Internal Audit
- Management Review
Module 13: Planning Compliance Audits
- Planning for Individual Compliance Audits
- Scope of Audit
- Compliance Audit Objectives
- Criteria
- Materiality
- Risk Assessment
- Compliance Auditing in Digital Environment
- Team Composition
- Intimation to the Auditable Entity
Module 14: Create Effective Compliance Programme
- Key Elements of an Effective Compliance Programme
- Determine Your Compliance Management System
- Consequences of Non-Compliance
- Reduce Risk
- Steps to Create an Effective Compliance Programme
Module 15: Compliance Monitoring
- Monitoring and Auditing
- Framework for Monitoring
Module 16: Improvement
- Continual Improvement
- Nonconformity and Corrective Action
- Monitoring Techniques
Module 17: Compliance Auditor
- Who is a Compliance Auditor?
- Responsibilities
- Requirements
Module 18: Conducting Compliance Audits
- Audit Evidence
- Gathering and Evaluating Evidence
- Documentation
- Communication with the Auditable Entity
Module 19: On-Site Audit Activities
- Opening Meeting
- Document Review
- Detailed Site Inspection
- Staff Interview
- Review Audit Evidence
- Closing Meeting
Module 20: Reporting Compliance Audits
- Introduction
- Forms and Content of Reports
- Inspection Reports
- Departmental Appreciation Note
- Compliance Audit Report
- Follow Up
Who should attend this ISO 37301 Compliance Management Systems Lead Auditor Training Course?
This ISO 37301 Compliance Management Systems Lead Auditor Training Course equips attendees with the knowledge and skills needed to audit compliance management systems effectively. Here are roles or individuals who might find attending an ISO 37301 Compliance Management Systems Lead Auditor Training Course beneficial:
- Compliance Officers and Managers
- Internal Auditors
- External Auditors and Consultants
- Regulatory Affairs Professionals
- Risk Management Professionals
- Quality Assurance and Quality Management Professionals
- Operational Managers
- Legal and Compliance Professionals
Prerequisites of this ISO 37301 Compliance Management Systems Lead Auditor Training Course
There are no formal prerequisites for attending this ISO 37301 Compliance Management Systems Lead Auditor Training Course.
ISO 37301 Compliance Management Systems Lead Auditor Training Course Overview
ISO 37301 focuses on Compliance Management Systems (CMS), ensuring organisations adhere to legal and ethical standards and fostering integrity and trust. It's relevant in today's business landscape, emphasising the need for robust systems to mitigate compliance risks, promote ethical practices, and maintain organisational credibility.
Proficiency in ISO 37301 is vital for Compliance Officers, Auditors, and Risk Management Professionals. Mastery of this standard enables them to evaluate, implement, and manage compliance systems effectively. It equips professionals to ensure adherence to regulations, mitigate risks, and foster a culture of ethical conduct within organisations.
This 5-day Training Course delves into ISO 37301's principles, covering compliance frameworks, risk assessment, and auditing techniques. Delegates will gain insights into assessing compliance effectiveness, conducting audits, and improving CMS performance, enhancing their ability to lead compliance initiatives within their organisations.
Course Objectives
- To understand the requirements and principles of ISO 37301 for Compliance Management Systems
- To evaluate and implement effective compliance frameworks within organisations
- To conduct compliance audits and assess CMS performance
- To mitigate compliance risks and ensure adherence to legal and ethical standards
- To improve organisational integrity and trust through ethical practices
- To enhance skills in leading compliance initiatives and fostering a culture of compliance
Delegates completing this ISO Certification Course will possess comprehensive expertise in ISO 37301, enabling them to effectively evaluate, implement, and manage Compliance Management Systems within their organisations. They'll have the skills to conduct thorough compliance audits and mitigate risks.
What’s included in this ISO 37301 Compliance Management Systems Lead Auditor Training Course?
- ISO 37301 Compliance Management Systems Lead Auditor Examination
- World-Class Training Sessions from Experienced Instructors
- ISO 37301 Compliance Management Systems Lead Auditor Training Certificate
- Digital Delegate Pack
ISO 37301 Compliance Management Systems Lead Auditor Exam Information
To achieve the ISO 37301 Compliance Management Systems Lead Auditor Training, candidates will need to sit for an examination. The exam format is as follows:
- Question Type: Multiple Choice
- Total Questions: 30
- Total Marks: 30 Marks
- Pass Mark: 50%, or 15/30 Marks
- Duration: 40 Minutes
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Experience live, interactive learning from home with The Knowledge Academy's Online Instructor-led ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Virtual. Engage directly with expert instructors, mirroring the classroom schedule for a comprehensive learning journey. Enjoy the convenience of virtual learning without compromising on the quality of interaction.
Unlock your potential with The Knowledge Academy's ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Virtual, accessible anytime, anywhere on any device. Enjoy 90 days of online course access, extendable upon request, and benefit from the support of our expert trainers. Elevate your skills at your own pace with our Online Self-paced sessions.
Experience the most sought-after learning style with The Knowledge Academy's ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Virtual. Available in 490+ locations across 190+ countries, our hand-picked Classroom venues offer an invaluable human touch. Immerse yourself in a comprehensive, interactive experience with our expert-led ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Virtual sessions.
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ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Virtual FAQs
ISO 37301 is an international standard that provides guidelines for establishing, developing, implementing, evaluating, maintaining, and improving an effective compliance management system. It helps organisations ensure they are adhering to laws, regulations, and internal requirements, fostering a culture of integrity and accountability.
The ISO 37301 Compliance Management Systems Lead Auditor Course equips individuals with the knowledge and skills needed to audit an organisation’s compliance management system effectively. Delegates learn how to evaluate the effectiveness of compliance systems in line with ISO 37301 standards, ensuring continuous improvement and legal compliance.
While there are no formal prerequisites, a background in compliance, auditing, or management systems can be helpful. Basic knowledge of compliance principles and management systems is beneficial to maximise understanding and engagement during the course.
This course is ideal for Compliance Officers, Auditors, Risk Managers, and professionals involved in Legal or Regulatory functions. It is also beneficial for those seeking to implement or audit Compliance Management Systems in their organisations.
Yes, we offer 24/7 support for our ISO 37301 Compliance Management Systems Lead Auditor course. Our dedicated team is available around the clock to provide assistance, ensuring a smooth learning experience for all delegates.
The course includes comprehensive learning materials, expert-led training sessions, case studies, practical exercises, and a certification exam. Delegates also receive post-course support to assist with any follow-up queries.
This certification aims to develop your expertise in auditing Compliance Management Systems based on ISO 37301 standards. It provides you with the knowledge and skills to evaluate and ensure that an organisation’s compliance system meets regulatory requirements and operates effectively.
The benefits include gaining in-depth knowledge of compliance audits, understanding how to mitigate risks, and ensuring legal and regulatory adherence. The certification enhances your professional credentials, opening doors to leadership roles in compliance and audit functions.
The course is designed for professionals with a basic understanding of Compliance Management Systems. It is moderately challenging but accessible, with practical examples and expert guidance to ensure delegates are well-supported throughout.
Holding this certification demonstrates your ability to audit and assess Compliance Management Systems effectively. It signifies that you have the expertise to ensure an organisation adheres to compliance requirements, boosting your professional reputation and employability.
This training is essential for compliance managers, auditors, risk officers, and professionals tasked with overseeing compliance within an organisation. It is also beneficial for consultants and legal professionals involved in regulatory compliance.
The duration of this ISO 37301 Compliance Management Systems Lead Auditor Course is 5 days.
Yes, we offer corporate training solutions tailored to organisational needs. Our corporate packages include on-site training, virtual options, and customised course materials to suit your team’s requirements.
This course offers the flexibility of online learning while providing you with the expertise to excel in compliance management. It equips you with essential auditing skills, boosts your career prospects, and helps your organisation maintain regulatory integrity.
In this training, you will learn the principles of Compliance Management Systems, how to plan and conduct audits, and how to assess the effectiveness of a compliance system. You’ll also develop skills in reporting audit findings and ensuring continuous improvement.
After completing the course, you can apply your newly acquired skills in your current role, seek opportunities as a lead auditor, or advance your career in compliance management. Additionally, you can pursue further ISO certifications to enhance your expertise.
Yes, we offer a self-paced version of the ISO 37301 Compliance Management Systems Lead Auditor Course, allowing you to learn at your own pace and convenience. This option is ideal for those with busy schedules.
If you experience any access issues, please contact our support team via email or our 24/7 support line. We are always available to resolve any technical difficulties and ensure you have full access to the course materials.
Upon completion, you can pursue roles such as Compliance Manager, Lead Auditor, Risk Manager, or Regulatory Affairs Specialist. This certification will enhance your qualifications for positions that require compliance oversight and audit expertise.
Yes, the course includes a certification exam at the end, which tests your knowledge and practical skills in auditing Compliance Management Systems according to ISO 37301 standards.
The training fees for ISO 37301 Compliance Management Systems Lead Auditor Trainingin Virtual starts from £2495
The Knowledge Academy is the Leading global training provider for ISO 37301 Compliance Management Systems Lead Auditor Training.
Please see our ISO Certification courses available in Virtual
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"Really good course and well organised. Trainer was great with a sense of humour - his experience allowed a free flowing course, structured to help you gain as much information & relevant experience whilst helping prepare you for the exam"
Joshua Davies, Thames Water
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