8 technical questions about ISO 37301 Audit — Compliance Management System. Timelines, methodology, deliverables and assessment criteria.
ISO 37301 is the international standard for compliance management systems. It establishes requirements for organizations to demonstrate their commitment to meeting legal, regulatory, and voluntary obligations.
Organizations in highly regulated sectors: financial services, pharmaceuticals, energy, telecommunications, and any entity operating across multiple jurisdictions with complex regulatory obligations.
Between 5 and 20 business days, depending on the number of applicable regulatory obligations, the legal environment complexity, and the number of jurisdictions in which the organization operates.
Regulatory obligation mapping, compliance function review, compliance culture assessment, and verification of monitoring and reporting mechanisms are performed per ISO 19011.
Evaluated regulatory obligations matrix, compliance system maturity report, findings classified by criticality, and a roadmap to strengthen the compliance function.
ISO 37301 forms a pair with ISO 37001 (anti-bribery) to address organizational integrity. It also integrates with ISO 31000 for regulatory non-compliance risk management.
Recurring findings include incomplete obligation registers, absence of periodic compliance risk assessments, compliance function lacking hierarchical independence, and insufficient staff training.
Prepare an inventory of legal and regulatory obligations, define the compliance function structure, document the compliance policy, and establish monitoring indicators.
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