Compliance & Ethics Management: Auditing based on ISO 37301

Operational Auditing and Quality Assurance October 25, 2025
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Introduction

This specialized course provides participants with the necessary knowledge and skills to audit a Compliance Management System (CMS) based on the international standard ISO 37301:2021. It focuses on the core principles of good governance, proportionality, transparency, and sustainability within an organization's compliance framework. Attendees will learn to plan, conduct, report, and follow up on CMS audits effectively, ensuring that compliance obligations are systematically met and ethical conduct is embedded throughout the organization. The training is crucial for organizations looking to mitigate regulatory, legal, and reputational risks through a robust and auditable compliance system.

Objectives

Upon completion of this course, participants will be able to:

  • Explain the purpose and benefits of a Compliance Management System (CMS) based on ISO 37301.
  • Describe the requirements of ISO 37301 and its relationship to organizational governance and culture.
  • Apply ISO 19011 principles to the audit of a CMS, focusing on risk and ethical performance.
  • Plan and prepare for a compliance audit, including the scope and criteria definition.
  • Conduct effective interviews and gather objective evidence on the compliance culture and controls.
  • Audit the identification, assessment, and meeting of compliance obligations (legal, regulatory, voluntary).
  • Identify and classify nonconformities related to compliance failures and control weaknesses.
  • Prepare clear, evidence-based audit reports for management and governance bodies.

Target Audience

  • Compliance Officers and Managers.
  • Internal and External Auditors focused on GRC (Governance, Risk, Compliance).
  • Risk Managers and Legal Counsel.
  • Ethics Committee members and HR Managers.
  • Top Management seeking assurance on compliance effectiveness.
  • Consultants involved in CMS implementation.

Methodology

  • Case Studies focused on compliance failures and ethical dilemmas.
  • Role-Playing Interviews with Top Management and Compliance Officers.
  • Group Activities: Auditing a Compliance Obligation register.
  • Discussions on Auditing the Organizational Compliance Culture.
  • Practical Exercises in Nonconformity Writing for control weaknesses.

Personal Impact

  • Gain specialized competence in auditing the ISO 37301 standard.
  • Enhance ability to identify and mitigate significant compliance and legal risks.
  • Improve communication skills for presenting complex ethical findings to leadership.
  • Increase career opportunities in the growing GRC field.
  • Develop a systematic, principles-based approach to compliance assurance.
  • Confidence in verifying the adequacy of whistleblowing and anti-bribery controls.

Organizational Impact

  • Reduced regulatory fines, penalties, and legal costs due to proactive compliance.
  • Improved corporate governance and transparent reporting to stakeholders.
  • Enhanced reputation and trust with customers, regulators, and the public.
  • A stronger, more ethical organizational culture embedded through auditable controls.
  • Systematic identification and management of all compliance obligations.
  • More robust and effective internal controls against fraud and misconduct.

Course Outline

Unit 1: Fundamentals of Compliance Management and ISO 37301

Section 1.1: CMS Principles and Context
  • The scope, purpose, and key principles of ISO 37301:2021.
  • Understanding the relationship between compliance, governance, and culture.
  • Auditing the organizational context and identifying external and internal issues affecting compliance.
  • Auditing the identification of compliance obligations (legal, statutory, regulatory, voluntary).

Unit 2: Auditing Leadership, Planning, and Support

Section 2.1: Leadership and Commitment
  • Techniques for auditing top management commitment and the compliance policy.
  • Auditing the role, authority, and independence of the compliance function.
  • Auditing the planning process: Objectives, risks, and opportunities for compliance.
Section 2.2: Support and Documentation
  • Auditing resources, competence, awareness, and training programs related to compliance.
  • Auditing internal and external communication systems (e.g., whistleblowing mechanisms).
  • Auditing the control of documented information relevant to compliance obligations.

Unit 3: Auditing Operational Compliance Processes

Section 3.1: Control Mechanisms
  • Auditing due diligence processes for third parties, partners, and employees.
  • Auditing financial controls and anti-bribery measures (link to ISO 37001).
  • Auditing operational planning and control for embedding compliance into processes.
  • Auditing the processes for initiating, recording, investigating, and responding to failures.

Unit 4: Performance Evaluation and Auditing Techniques

Section 4.1: Monitoring and Measurement
  • Auditing the processes for monitoring and measuring CMS performance.
  • Auditing methods for investigating and analyzing compliance failures and incidents.
  • Techniques for auditing the compliance culture and ethical behavior.
  • Applying ISO 19011 guidance to compliance-specific risks.

Unit 5: Reporting, Improvement, and Certification

Section 5.1: Reporting and Corrective Action
  • Structuring the compliance audit report for management and governance review.
  • Writing clear nonconformity statements related to systemic control weaknesses.
  • Auditing the effectiveness of corrective actions and follow-up.
  • Auditing the Management Review process for the CMS.

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