ISO 37301 — Compliance Management (Implementer)

By the end

What you'll build

• Build an obligation register that stays current as regulation and contracts change
• Assess compliance risk and prioritise obligations by exposure rather than volume
• Assign control ownership and define what evidence each owner must produce
• Design escalation and reporting routes that surface issues before they become breaches
• Investigate a suspected compliance breach with proportionate rigour and documented findings
• Run an assurance cycle including internal audit and management review of compliance

Curriculum

What's inside

8 modules · 47 lessons

1. 01

   The compliance mandate

   6 lessons
   • What a compliance management system is accountable for
   • Compliance, ethics and legal: overlapping but distinct
   • Independence and authority of the compliance function
   • Governance bodies and reporting lines
   • Setting scope across group entities and jurisdictions
   • + 1 more lesson
2. 02

   Knowing your obligations

   6 lessons
   • Building an obligation register that survives regulatory change
   • Sources of obligation: law, regulation, contract, voluntary commitment
   • Horizon scanning without drowning in alerts
   • Translating an obligation into an operational requirement
   • Ownership and review cadence for each obligation
   • + 1 more lesson
3. 03

   Compliance risk

   6 lessons
   • Assessing compliance risk by exposure, not by obligation count
   • Inherent and residual risk in a compliance context
   • Risk appetite for non-negotiable obligations
   • Emerging risk and new business activity
   • Documenting risk decisions defensibly
   • + 1 more lesson
4. 04

   Controls and operations

   6 lessons
   • Turning obligations into controls someone actually owns
   • Preventive, detective and corrective compliance controls
   • Embedding controls into business processes
   • Third-party and outsourced activity
   • Recordkeeping and evidence standards
   • + 1 more lesson
5. 05

   Culture and speak-up

   6 lessons
   • Assessing whether your speak-up channel is genuinely trusted
   • Tone from the top and the tone in the middle
   • Incentives that quietly defeat controls
   • Training and communication that changes behaviour
   • Protecting people who raise concerns
   • + 1 more lesson
6. 06

   Breaches and investigations

   6 lessons
   • Running a proportionate compliance investigation
   • Triage: what needs an investigation and what needs a fix
   • Evidence handling and confidentiality
   • Findings, remediation and consequence management
   • Reporting obligations in general terms
   • + 1 more lesson
7. 07

   Assurance and improvement

   6 lessons
   • Designing a compliance assurance plan across three lines
   • Monitoring, testing and internal audit of compliance
   • Compliance reporting to leadership and the board
   • Management review and corrective action
   • Maturing the system over successive cycles
   • + 1 more lesson
8. 08

   Practice and check

   5 lessons
   • Reading the compliance systemmatch pairs
   • Handling a suspected breachsequence order
   • Compliance implementer: the exact wordfill blank
   • The late licence submissionscenario
   • Course quizquiz

The shape of it

How this course works