ISO 37301 Compliance Management Systems Internal Auditor Training Overview and Exam Details

Course syllabus

Exams

Who it’s for

What’s included

FAQs

ISO 37301 Compliance Management Systems Internal Auditor Training​ Course Outline

Module 1: Introduction to ISO 37301

  • Scope
  • 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
  • Understanding the Needs and Expectations of Stakeholders
  • Determining the Scope of the Compliance Management System
  • Compliance Management System
  • Compliance Obligations
  • Compliance 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
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ISO 37301 Compliance Management Systems Internal Auditor Exam Information

To achieve the ISO 37301 Compliance Management Systems Internal 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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Who should attend this ISO 37301 Compliance Management Systems Internal Auditor Training Course?

This ISO 37301 Compliance Management Systems Internal 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 Internal 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 Internal Auditor Training Course

There are no formal prerequisites for attending this ISO 37301 Compliance Management Systems Internal Auditor Training Course. However, a good understanding of the ISO 37301 Compliance Management Systems concepts can be beneficial for the delegates.

ISO 37301 Compliance Management Systems Internal Auditor Course Overview:

ISO 37301 Internal Auditor training focuses on equipping professionals with the skills to effectively audit and assess compliance management systems in line with the ISO 37301 standard. Its importance lies in ensuring that organisations meet regulatory requirements, manage risks, and improve their overall compliance performance. This training enables organisations to maintain an effective compliance framework, reduce non-compliance risks, and enhance operational efficiency. For individuals, the training provides practical knowledge of compliance audits, enabling them to contribute to continuous improvement processes.

In this course, delegates will learn the key principles of ISO 37301 Internal Auditing, including the scope and purpose of compliance management systems. They will understand the roles and responsibilities of compliance auditors and gain insights into the process of conducting compliance audits effectively. The course will also cover compliance audit planning, risk profiling, internal vs. compliance audits, and the necessary elements for preparing a robust compliance audit plan. Delegates will learn about compliance monitoring, audit evidence gathering, and reporting audit findings in line with ISO 37301 standards.

ISO 37301 Compliance Management Systems Internal Auditor Course Objectives:

  • To learn the key principles and procedures of compliance auditing
  • To explore the roles and responsibilities of a compliance auditor
  • To develop skills for preparing and planning compliance audits effectively
  • To understand risk profiling and how it impacts audit planning
  • To gain practical knowledge of evidence gathering during compliance audits
  • To acquire the skills necessary for reporting audit findings clearly

After completing this training, delegates will be able to conduct internal compliance audits based on ISO 37301, ensuring their organisations meet regulatory requirements. They will be capable of identifying areas of non-compliance, assessing risks, and planning audits to address compliance gaps effectively.

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What’s included in this ISO 37301 Compliance Management Systems Internal Auditor Training Course?

  • ISO 37301 Compliance Management Systems Internal Auditor Examination
  • World-Class Training Sessions from Experienced Instructors
  • ISO 37301 Compliance Management Systems Internal Auditor Training Certificate
  • Digital Delegate Pack
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Mumbai is situated within the West Coast of India, as well as it being the capital of Maharashtra, it plays an important part within the global economics system. Bombay as the city was previously known as, up until 1995 is also known as an alpha world city and has the largest number of millionaires and billionaires across India, with it therefor being noted as the wealthiest city in India. Mumbai is home to around 18.4 million people and is regarded as the second largest metropolitan population within India as of the record in 2011 with 20.7 million people. Schools and Colleges within Mumbai can be found within the city as well as the suburbs and are either run privately, by the government or the Brihanmumbai Municipal Corporation. Secondary schools are operated by the MCGM primary education system to which it is schooling around 485,531 students in 1,188 primary schools and around 55,576 students in 49 secondary schools within eight different languages these being English, Hindi, Urdu, Kannada, Marathi, Tamil, Gujarati and Telugu. Colleges offer students opportunities to participate within Junior college level, undergraduate level, BCom, BSc and BA courses. As stated by the 10+2+3/4 plan students complete ten years at school to then go on to a junior college and study either science, commerce or arts and they complete that over a two year period. University courses at a degree level are offered in a wide range of different subjects such as engineering, law, media, applied arts and architecture, management, dental, pharmacy as well as Commerce and Science. There are a few universities and colleges within Mumbai and these are the University Institute of Chemical Technology, Indian Institute of Technology (Bombay), SNDT Women’s University, Government Law college, Veermata Jijabai Technological Institute, Narsee Monejee Institute of Management Studies, Sir J. J. School of Art which is the oldest art institution within Mumbai along the Thadomal Shahani Engineering College which is also the oldest private engineering college and the first of its kind to join up with the University of Mumbai to be able to give students the chance to learn about the biomedical engineering, computer engineering, biotechnology and information technology. The University of Mumbai is regarded to be one of the premier universities within India with achievements such as being placed within the top 50 engineering schools of the world ranking at 41 by the American Business Insider within 2013 as well as excelling as the 3rd best multi-disciplinary university within the QS university rankings within India.   

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ISO 37301 Compliance Management Systems Internal Auditor Training in Mumbai FAQs

What time shall I arrive at the venue?

Please arrive at the venue at 8:45am.

What are the pre-requisites?

Who should attend this course?

Do you offer support for the course?

We are able to provide support via phone & email prior to attending, during and after the course.

What is included in the course?

Delegate pack consisting of course notes and exercises, Manual, Experienced Instructor, and Refreshments

What is the duration of this course?

This course is [ ] day(s)

How long until I receive the course confirmation details?

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

What is the cost/training fees for ISO 37301 Compliance Management Systems Internal Auditor Training in Mumbai?

The training fees for ISO 37301 Compliance Management Systems Internal Auditor Training in Mumbai starts from INR64995

Which is the best training institute/provider of ISO 37301 Compliance Management Systems Internal Auditor Training in Mumbai?

The Knowledge Academy is one of the Leading global training provider for ISO 37301 Compliance Management Systems Internal Auditor Training.

What are the best ISO 37301 Training courses in Mumbai?

Please see our ISO 37301 Training courses available in Mumbai

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