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.
Outline points are grouped in one designed block instead of being treated as separate module cards.
01Compliance Management Context3 topics
- ISO 37301 structure and compliance principles
- Interested parties and compliance culture
- Defining system scope and governance
02Compliance Obligations3 topics
- Identifying laws, regulations, permits, and commitments
- Translating obligations into accountable requirements
- Maintaining an obligations register
03Compliance Risk Assessment3 topics
- Activities, exposure, likelihood, and consequence
- Existing controls and residual compliance risk
- Prioritizing monitoring and treatment
04Policies, Controls, and Competence3 topics
- Codes, procedures, approvals, and segregation
- Role-based training and communication
- Third-party and outsourced-process controls
05Speaking Up and Investigations3 topics
- Reporting channels and protection from retaliation
- Triage, investigation, confidentiality, and fairness
- Corrective and disciplinary response
06Assurance and Improvement3 topics
- 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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