ISO 37301 Lead Implementer Compliance Training

COURSE DURATION 5 DAYS                     

Dates: 17^th July – 21^st August 2026

Introduction

ISO 37301 Lead Implementer course. The five-day intensive course enables participants to develop the necessary expertise to support an organisation in implementing and managing a Compliance Management System (CMS) based on ISO 37301:2021. Participants will also understand the global compliance framework best practice used to implement the comprehensive compliance management system based on ISO 37301:2021. This management system is designed to be integrated with any existing system, such as ISO 37001:2016 Anti-Bribery Management System, and can be adapted to any organisation in any country.

Objectives                 

• Understand the implementation of the Compliance Management System following ISO 37301:2021
• Gain a comprehensive understanding of the approaches, methods, measures, and techniques required for the effective management of the Compliance Management Systems
• Gain knowledge and skills in identifying risks and opportunities associated with an organisation
• Acquire the necessary expertise to support an organisation in establishing, implementing, managing and maintaining the Compliance Management Systems as specified in ISO 37301:2021
• Acquire the necessary expertise to manage a team implementing an ISO 37301
• Develop the knowledge and skills required to advise organisations on the Compliance and regulatory framework good practices
• Help an organisation implement the necessary measures following ISO 37301 and improve the compliance team’s competency level
• Prepare an organisation for an ISO 37301:2021 Compliance Management Systems certification audit

Who should attend?

• Managers and consultants seeking knowledge about the basic concepts of a CMS
• Compliance officers and members of compliance teams who want to get acquainted with ISO 37301’s requirements
• Individuals wishing to contribute to maintaining organisational integrity by supporting ethical behaviour
• Individuals aspiring to become compliance officers or compliance management consultants
• Managers and members of governance, risk management, and compliance

Prerequisites

Participants need to have the basic knowledge of ISO management system standards, as well as a general understanding of ISO 37301 (or ISO 19600 guidelines) and the MS implementation principles.

ISO 37301 Lead Implementer Course Outline

DAY 1: Introduction to ISO 37301 and integration with an existing management system

• Unit 1: Course objectives and structure
• Unit 2: Introduction to ISO 37301 and the process approach
• Unit 3: Global Regulatory Compliance Framework Guidelines on Adequate Procedures
• Unit 4: Global Legislative and Corporate Compliance Program Approaches
• Unit 5: Core Principles of ISO 37301 Compliance Management System Unit
• Unit 6: Initiating ISO 37301 implementation and integration with an existing Management Systems
• Unit 7: Understanding the requirements of ISO 37301 and clarifying the Compliance Management System objectives

DAY 2: Define and plan the implementation of ISO 37301

• Unit 1: Selection of the approach and implementation methodology
• Unit 2: Definition and Determination of the Scope of ISO 37301 Compliance Management System
• Unit 3: Definition of Compliance, obligations and Ethics Policy and Objectives
• Unit 4: Identification and analysis of organisations nature and the compliance risk assessment process
• Unit 5: Drafting policies in compliance with ISO 37301

DAY 4: Deploying the ISO 37301 Compliance Management System

• Unit 1: Assessment of compliance risks, including due diligence versus inadequate due diligence
• Unit 2: Implementation of compliance framework, policy and top management commitment
• Unit 3: Compliance Culture, Communication of new policies to associated persons
• Unit 4: Compliance governance, training and awareness plan
• Unit 5: Verification of compliance with ISO 37301, Roles, responsibilities and authorities

DAY 4: ISO 37301 measurement, control, continuous improvement

• Unit 1: Compliance function, Monitoring organisation’s benefits to ensure that they have the Compliance Framework purposes
• Unit 2: Management, Planning, Resources, and Competencies for implementation of controls to prevent compliance risks
• Unit 3: Implementation of financial controls, Internal Audit and Employment processes, Performance evaluation

DAY 5: Preparation for the certification audit

• Unit 1: Compliance Reporting and Investigation Processes, feedback process on compliance performance
• Unit 2: Management review and Treatment of problems and non-conformities
• Unit 3: Continual improvement, Preparing for the certification audit
• Unit 4: Competence and evaluation of implementers

Certificate

• On successful completion of this training course, the ALARDI Africa Certificate will be issued to the participants.

Venue:

Kenya-Nairobi                               Cost USD 1800

Uganda-Kampala                          Cost USD 2100

Dates: 17^th July – 21^st August 2026