ISO 37031:2021 - Audit: Compliance System Management

In one day, participants will learn how to audit a compliance management system against ISO 37301:2021 with a structured, risk-based and evidence-driven approach. The training covers the preparation, execution and reporting of compliance audits, helping participants identify compliance obligations, assess control effectiveness and formulate audit conclusions that support continual improvement and a stronger culture of integrity.

By the end of the training, participants will be able to:

• Understand the principles, issues and governance of a compliance management system focused on ethics and integrity

• Identify the key requirements, compliance obligations and stakeholder expectations applicable to the organisation

• Map non-compliance risks and assess the associated controls, responsibilities and whistleblowing mechanisms

• Prepare and conduct an audit of the compliance management system using a structured, objective and pragmatic approach

• Formulate relevant audit findings and propose improvement actions to strengthen the compliance culture and ethical conduct
  

• Interactive round table: participants’ expectations, compliance, ethics and integrity challenges encountered within organisations

• Introduction to the compliance management system: purpose, principles, governance and culture of integrity

• Guided review of ISO 37301:2021: structure, key requirements, compliance obligations and stakeholder expectations

• Practical workshop: mapping non-compliance risks and legal, regulatory, contractual and ethical obligations

• Case study: analysing a compliance framework, its governance, responsibilities, controls and whistleblowing mechanisms

• Simulation: preparing a compliance management system audit – scope, objectives, criteria, audit plan and sampling

• Role play: conducting audit interviews with independence, active listening, confidentiality and ethical awareness

• Group exercise: collecting evidence, formulating findings, qualifying nonconformities and assessing control effectiveness

• Collective debrief presenting clear, objective audit conclusions focused on continual improvement

• Final summary: building an action plan to strengthen the compliance culture, risk prevention and ethical conduct in day-to-day operations
  

• Internal auditors, quality auditors, compliance officers and compliance managers

• Risk, governance, internal control, legal, ethics or data protection managers

• Managers, business unit managers and project managers involved in compliance, integrity or risk prevention initiatives

• Consultants, advisers and professionals supporting the implementation, assessment or improvement of a compliance framework

• Anyone required to audit, oversee or strengthen a compliance management system and an ethical culture within an organisation
  

Knowledge of “ISO 37301:2021 foundation”

At the end of the training, participants will receive a certificate of attendance issued by the House of Training.