ISO 37301 Compliance Management Systems Internal Auditor Training in Salt Lake City

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

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

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.

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