Compliance Management (ISO 37301) Fundamentals Training
A one-day fundamentals programme on ISO 37301. Learn how organisations build a system for meeting laws, regulations and internal policies using ISO 37301. Participants work through practical examples and a guided case before drafting actions for their own organisation.
Who should attend: Compliance, legal, risk, internal audit, HR and business process owners. No prior framework knowledge is required.
HRD Corp claim support available
Course at a Glance
| Duration | 1 day |
|---|---|
| Programme hours | 9:00 AM to 5:00 PM |
| Who should attend | Compliance, legal, risk, internal audit, HR and business process owners. No prior framework knowledge is required. |
| Delivery | Physical or online. Tell us your preference when you enquire. |
| HRD Corp | Claim support available |
Programme Agenda
9:00 AM to 10:00 AM
The Compliance Management System
Introduce ISO 37301:2021 and the difference between a compliance system and a list of rules. Explain leadership, culture, independence and responsibilities at a beginner level.
10:00 AM to 10:15 AM
Break
10:15 AM to 11:30 AM
Context and Compliance Obligations
Identify applicable laws, licences, contracts and voluntary commitments. Build an obligations register that records applicability, owners and changes rather than copying unrelated requirements.
11:30 AM to 12:30 PM
Assessing Compliance Risk
Connect an obligation to what can go wrong, affected stakeholders and existing controls. Prioritise risks and explain escalation and risk-based resource decisions.
12:30 PM to 1:30 PM
Lunch
1:30 PM to 2:45 PM
Controls and Speak-Up Processes
Explore approvals, due diligence, training, documented procedures and reporting channels. Distinguish routine advice, a suspected breach and a concern requiring protected escalation.
2:45 PM to 3:00 PM
Break
3:00 PM to 4:00 PM
Monitoring, Investigation and Improvement
Introduce checks, management reporting, investigation coordination, internal audit and corrective action. Track whether a fix addresses a cause rather than merely closing a case.
4:00 PM to 5:00 PM
Practical Exercise: A Compliance Action Plan
Review a fictional regulated service provider. Map four obligations to risks, owners and evidence, then draft monitoring and escalation arrangements for the most significant gaps.
Key Outcomes
- Explain compliance system roles and culture
- Draft an obligations register
- Match compliance risks to controls and checks
- Plan monitoring and corrective actions
Training Mode Physical / Online / Hybrid
HRD Corp Subject to programme eligibility and HRD Corp approval
Level Fundamentals / Beginner. No prior framework knowledge required.
Duration 1 Day | 9:00 AM to 5:00 PM (6.5 learning hours, excluding breaks)
Venue In-house at the client's premises, or delivered via the client's preferred platform (Microsoft Teams, Zoom, or equivalent)
Assessment Group case exercise and a 10-question knowledge check
Certificate Orbix Certificate of Completion upon full attendance; not a professional certification
Malaysia Relevance
High relevance for regulated Malaysian businesses and teams managing overlapping legal, contractual and policy obligations. Examples focus on assigning duties, checking performance and escalating breaches.
Practical Takeaways
A compliance obligations register and monitoring-and-escalation worksheet.
Download a sample practice worksheet (TXT). This fictional exercise is a preview of the learning approach. About Orbix; contact us to confirm the facilitator and relevant experience for your delivery.
Course Completion and Next Steps
Participants receive an Orbix Certificate of Completion upon full attendance. This introductory course does not confer professional certification or establish an organisation's compliance. Further implementation and assessment depend on the organisation's scope and obligations.
Frequently Asked Questions
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Reference material: ISO: ISO 37301:2021.