Governance, Risk & Compliance
Compliance Management Systems Based on ISO 37301
This practical course develops directly applicable capability in Compliance Management Systems Based on ISO 37301. Participants work in depth on Compliance Management Context, and Compliance Obligations, and Compliance Risk Assessment, then convert the methods into tools and actions suited to their workplace.
Objectives
- Apply the principles and methods of compliance management context in a workplace context.
- Apply the principles and methods of compliance obligations in a workplace context.
- Apply the principles and methods of compliance risk assessment in a workplace context.
- Apply the principles and methods of policies, controls, and competence in a workplace context.
- Apply the principles and methods of speaking up and investigations in a workplace context.
- Apply the principles and methods of assurance and improvement in a workplace context.
Target audience
- Professionals responsible for the subject area
- Managers and supervisors
- Analysts, coordinators, and specialists
- Project and improvement teams
- Employees preparing for broader responsibilities
Program outline
A clear structure for the learning journey.
Program outline
Outline points are grouped in one designed block instead of being treated as separate module cards.
Module 1: Compliance Management Context
ISO 37301 structure and compliance principles
Interested parties and compliance culture
Defining system scope and governance
Module 2: Compliance Obligations
Identifying laws, regulations, permits, and commitments
Translating obligations into accountable requirements
Maintaining an obligations register
Module 3: Compliance Risk Assessment
Activities, exposure, likelihood, and consequence
Existing controls and residual compliance risk
Prioritizing monitoring and treatment
Module 4: Policies, Controls, and Competence
Codes, procedures, approvals, and segregation
Role-based training and communication
Third-party and outsourced-process controls
Module 5: Speaking Up and Investigations
Reporting channels and protection from retaliation
Triage, investigation, confidentiality, and fairness
Corrective and disciplinary response
Module 6: Assurance and Improvement
Monitoring, testing, internal audit, and indicators
Management review and compliance reporting
Nonconformity, corrective action, and maturity roadmap
Materials provided
- ○ Course-specific presentation slides
- ○ Practical exercises and facilitated activities
- ○ Course-specific worksheets, checklists, and templates
- ○ Applied workplace case studies
- ○ 4D Certificate of Completion issued by 4D Training & Consultancy
- ○ Post-course support for implementation questions
Training Options
Programs can be delivered in-house, online, or in a blended format depending on your team's schedule, location, and learning objectives. When an external certificate or exam is included, certification rules and fees remain under the relevant awarding body's policies, while 4D provides the training and preparation support.
Why choose 4D
4D adapts this program to the participant group and workplace context. Delivery combines structured explanation with course-specific exercises, realistic cases, working tools, and an action-planning component so participants can transfer the learning to their roles.
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