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Course Information

ISO 37301 Compliance Management Systems Lead Auditor Training​ Course Outline

Module 1: Introduction to ISO 37301

  • Scope
  • Normative References
  • Terms and Definitions

Module 2: Overview 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
  • Monitoring Techniques

Module 16: Improvement

  • Continual Improvement
  • Nonconformity and Corrective Action

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

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There are no formal prerequisites in this ISO 37301 Lead Auditor training course.


This training course is suitable for anyone who wants to gain in-depth knowledge of ISO 37301 Lead Auditor successfully.

ISO 37301 Compliance Management Systems Lead Auditor Training​ Course Overview

ISO 37301 Compliance Management Systems specifies requirements for developing, continually improving, and maintaining an effective compliance management system. It helps to understand compliance policies and requirements, and reviews operations to ensure to fulfil duties of business processes. A compliance management system is essential for everyone because it helps individuals to describe in detail how to configure and develop a positive culture of compliance. It enables individuals to responsible for maintaining conformity to ISO 37301 requirements in an organisation. This training course will help the delegates manage their organisation develop strong and valuable relationships with regulators and Improve business opportunities and sustainability. This obtained information will conduct their career profile and excellent gain professional growth and expand career opportunities.

In this 5-day ISO 37301 Compliance Management Systems Training course, delegates will gain comprehensive knowledge starting from the basics to advanced concepts of a compliance management system. Delegates will learn how to implement compliance audits, compliance risk assessment, operational planning, and control, etc. Our expert and highly skilled trainer will conduct this training and has years of experience in teaching this course.

Apart from these, delegates will learn the following essential concepts, such as:

  • Compliance Management System (CMS)
  • Create an effective compliance programme
  • Compliance auditor
  • Reporting compliance audits
  • Compliance monitoring

After attending this ISO 37301 Compliance Management Systems training course, delegates will be able to perform compliance management system audits by using investigation processes. They will also be able to gather and evaluate evidence in conducting compliance audits.

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  • Delegate pack consisting of course notes and exercises
  • Manual
  • Experienced Instructor

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Why choose us

Ways to take this course

Our easy to use Virtual platform allows you to sit the course from home with a live instructor. You will follow the same schedule as the classroom course, and will be able to interact with the trainer and other delegates.

Our fully interactive online training platform is compatible across all devices and can be accessed from anywhere, at any time. All our online courses come with a standard 90 days access that can be extended upon request. Our expert trainers are constantly on hand to help you with any questions which may arise.

This is our most popular style of learning. We run courses in 1200 locations, across 200 countries in one of our hand-picked training venues, providing the all important ‘human touch’ which may be missed in other learning styles.


Highly experienced trainers

All our trainers are highly qualified, have 10+ years of real-world experience and will provide you with an engaging learning experience.


State of the art training venues

We only use the highest standard of learning facilities to make sure your experience is as comfortable and distraction-free as possible


Small class sizes

We limit our class sizes to promote better discussion and ensuring everyone has a personalized experience


Great value for money

Get more bang for your buck! If you find your chosen course cheaper elsewhere, we’ll match it!

This is the same great training as our classroom learning but carried out at your own business premises. This is the perfect option for larger scale training requirements and means less time away from the office.


Tailored learning experience

Our courses can be adapted to meet your individual project or business requirements regardless of scope.


Maximise your training budget

Cut unnecessary costs and focus your entire budget on what really matters, the training.


Team building opportunity

This gives your team a great opportunity to come together, bond, and discuss, which you may not get in a standard classroom setting.


Monitor employees progress

Keep track of your employees’ progression and performance in your own workspace.

What our customers are saying

ISO 37301 Compliance Management Systems Lead Auditor Training FAQs


Please arrive at the venue at 8:45am.
There are no formal prerequisites in this ISO 37301 Lead Auditor training course.
This training course is suitable for anyone who wants to gain in-depth knowledge of ISO 37301 Lead Auditor successfully.
We are able to provide support via phone & email prior to attending, during and after the course.
Delegate pack consisting of course notes and exercises, Manual, Experienced Instructor, and Refreshments
Once your booking has been placed and confirmed, you will receive an email which contains your course location, course overview, pre-course reading material (if required), course agenda and payment receipts
The price for ISO 37301 Compliance Management Systems Lead Auditor Training certification in the United Kingdom starts from £1995
The Knowledge Academy is the Leading global training provider for ISO 37301 Compliance Management Systems Lead Auditor Training.
Please see our ISO Training courses available in the United Kingdom

Why choose us


Best price in the industry

You won't find better value in the marketplace. If you do find a lower price, we will beat it.


Many delivery methods

Flexible delivery methods are available depending on your learning style.


High quality resources

Resources are included for a comprehensive learning experience.

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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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