Compliance Management System (CMS) & Auditing

The Compliance Management System (CMS) & Auditing course is designed to provide in-depth knowledge of modern compliance practices, risk management frameworks, and auditing techniques. Participants will learn to develop, implement, and maintain effective CMS policies aligned with international standards, including ISO 9001:2015, GDPR regulations, and UK financial regulations. The course emphasizes practical applications of auditing, risk assessment, compliance monitoring, internal controls, and ethical governance to ensure organizational integrity and regulatory adherence.

Throughout the program, learners will gain expertise in risk mitigation strategies, internal auditing procedures, regulatory compliance, quality management systems, governance frameworks, policy implementation, ethical business practices, data protection compliance, corporate accountability, and operational risk management. By completing this course, participants will be fully equipped to manage compliance risks, perform internal audits, and align organizational operations with global regulatory standards.

Learning Outcomes

1. Understand Compliance Management Systems and auditing principles for organizational growth.
2. Apply ISO 9001:2015 standards to enhance business quality and performance.
3. Conduct effective risk assessments for regulatory and operational compliance purposes.
4. Implement GDPR and data protection measures within organizational processes.
5. Develop skills for performing internal audits and reporting compliance findings.
6. Strengthen governance, ethical standards, and professional integrity across organizations.

Course Curriculum:

Part 1: ISO 9001:2015 Part 1

• Introduction to ISO 9001:2015 standards and principles
• Understanding quality management systems (QMS)
• Key clauses and requirements of ISO 9001:2015
• Process approach and process mapping techniques
• Documentation, records, and compliance requirements
• Implementing quality objectives and policy frameworks

Part 2: ISO 9001:2015 Part 2

• Auditing ISO 9001:2015 standards and procedures
• Internal audits planning and execution
• Identifying non-conformities and corrective actions
• Continuous improvement and performance monitoring
• Risk-based thinking and management strategies
• Integration with organizational operations and business processes

Part 3: Compliance and Risk Management Course

• Fundamentals of compliance management systems (CMS)
• Regulatory compliance frameworks and requirements
• Compliance risk identification and assessment techniques
• Designing and implementing compliance policies
• Monitoring and reporting compliance activities
• Corporate governance and ethical compliance standards

Part 4: Risk Assessment Training

• Risk assessment methodologies and frameworks
• Risk identification, analysis, and evaluation
• Prioritizing risks and implementing mitigation strategies
• Risk monitoring, reporting, and review procedures
• Integrating risk assessment into organizational operations
• Case studies on operational, financial, and regulatory risks

Part 5: The Introduction to UK Financial Regulations & Professional Integrity

• Overview of UK financial regulatory environment
• Key financial regulations and compliance requirements
• Professional integrity and ethical decision-making
• Regulatory reporting obligations and accountability
• Governance standards in financial institutions
• Practical examples of compliance failures and lessons

Part 6: GDPR UK Training Module

• Introduction to GDPR and data protection principles
• Rights of data subjects and organizational obligations
• Implementing GDPR compliance policies
• Data breach management and reporting procedures
• Data privacy impact assessments (DPIA)
• Ensuring ongoing GDPR compliance in business operations

Part 7: Internal Auditor

• Role and responsibilities of internal auditors
• Planning and conducting internal audits
• Audit checklist preparation and evaluation
• Reporting audit findings and recommendations
• Corrective action and follow-up procedures
• Enhancing organizational compliance through audits

Disclaimer:

This is an online course with pre-recorded lessons. You will get access to the course within 48 hours after your enrolment.