ISO 37301 Compliance Management Systems Lead Auditor Training

The ISO 37301 Compliance Management Systems Lead Auditor Course offers in-depth training on auditing an organisation’s compliance framework against ISO 37301 standards. Designed for compliance professionals, auditors, and senior managers, this course equips learners with the skills to assess, report, and support continual improvement in ethical governance and legal conformance.

Key Topics Covered

• ISO 37301 Principles: Understanding the foundation and requirements of a Compliance Management System
• Compliance Auditing: Methods to plan, conduct, report, and follow up on audits
• Risk-Based Approach: Applying risk assessment techniques to compliance auditing
• Roles and Responsibilities: Competency expectations for compliance auditors
• Real-World Scenarios: Applying audit skills in simulated compliance environments

Course Benefits

• Lead High-Impact Audits: Gain the competence to conduct independent and third-party compliance audits
• Support Legal and Ethical Operations: Strengthen your organisation’s integrity and accountability practices
• Enhance Governance Frameworks: Promote transparency, policy alignment, and regulatory readiness
• Career Advancement: Build advanced auditing skills that are valued across regulated industries
• Build Global Capability: Prepare for leadership roles in compliance, ethics, and audit worldwide

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

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

By the end of the course, you will be able to:

• Understand the purpose, scope, and structure of ISO 37301
• Plan and perform a full audit of a Compliance Management System
• Evaluate evidence and determine conformance with compliance obligations
• Conduct opening and closing meetings with auditees
• Prepare detailed audit reports and recommend improvements

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