Compliance risk assessment across your business units, jurisdictions, and third-party relationships
Compliance Management
ISO 37301 Certification
Compliance Management
ISO 37301 Certification
Build a Compliance Program That Holds Up When It's Tested, Not Just When It's Reviewed
ISO 37301 certification tells your board, regulators, and customers that your compliance management system is more than a policy binder, it actively identifies, prevents, and responds to compliance risk. We help you build that system, close the gaps an auditor would flag, and get certified without disrupting the business you're trying to protect.
The challenge
The Problem We're Usually Called In For
Most compliance failures don't come from a missing policy. They come from a policy nobody follows, a whistleblowing channel employees don't trust, or a compliance function with no real authority to stop a deal it should have flagged. None of that shows up until a regulator asks for evidence, a partner's due diligence team digs in, or an incident forces the question.
We work with General Counsel, Chief Compliance Officers, Heads of Risk, and CEOs at mid-market and enterprise organizations, typically 100 to 5,000 employees, across financial services, manufacturing, professional services, and the public sector. Some of you are building a compliance management system from scratch. Some already have one and need it certified. Others inherited a program built for a different regulatory regime and need it rebuilt around ISO 37301.
Scope
What the Certification Process Covers
Gap analysis against the ISO 37301 clauses, benchmarked against your current policies, controls, and governance structure
Compliance governance design, including the mandate, independence, and reporting lines your compliance function needs
Policy and procedure development, or revision, so they reflect how the business actually operates
Whistleblowing and speak-up channel review, including how reports are triaged, investigated, and closed out
Training and communication plan tailored to the roles that carry the most compliance risk
Internal audit support and a full management review cycle ahead of certification
Certification body liaison, so you're not the one translating between your evidence and their checklist
Engagement
How the Engagement Works
A proven 7-step consulting process from discovery to sustained process excellence.
Step 01
Discovery & Scoping
Step 02
Gap Assessment
Step 03
Build & Remediation
Step 04
Internal Audit & Management Review
Step 05
Certification Support
A short call to map your regulatory footprint, existing controls, and what's driving the certification, whether it's a tender requirement, a regulator's expectation, or a board mandate. We agree on scope before any assessment work starts.
We assess your current compliance management system against ISO 37301's requirements and flag exactly what's missing, what's weak, and what already meets the bar.
We help you design or strengthen the policies, risk assessments, and governance structures the gap assessment identified, working alongside your team rather than handing you a template and walking away.
We run the internal audit ISO 37301 requires and support the management review, so you walk into certification with evidence, not assumptions.
We prepare you for the certification body's Stage 1 and Stage 2 audits, sit in on request, and help close any findings quickly so certification isn't delayed by something avoidable.
Outcomes
Proof, Not Promises
Mid-market financial services firm
the gap assessment found a whistleblowing channel that technically existed but had never received a report in three years, a red flag to any certification auditor. We rebuilt the intake and investigation process, and it became one of the program's strongest evidence points by Stage 2.
Client outcome
Manufacturing group operating across four countries
compliance policies existed at head office but were never localized. We rebuilt the framework so regional teams could apply it consistently, closing a gap that had already been raised twice in prior internal audits.
Client outcome
FAQ
Questions We Get Asked Before Signing
For a typical mid-market organization with an existing compliance function, three to six months from kickoff to certification audit. Organizations building a compliance program from scratch usually need six to nine months.
No, but you'll need one identified before certification, since ISO 37301 requires a compliance function with real independence and authority. We can help you define that role if it doesn't exist yet.
Minimal. Most of the work is document review, structured interviews, and workshops. We schedule around your team's existing commitments rather than the other way around.
ISO 19600 was the earlier guidance standard for compliance management systems. ISO 37301 replaced it in 2021 as the first certifiable standard in this area, so if you're pursuing formal certification, 37301 is the one that applies.
Yes. We map jurisdiction-specific obligations into a single compliance framework, so you're not running separate systems for each region.
Certification is valid for three years with annual surveillance audits. We can support those on an ongoing basis or hand off to your internal team, whichever fits your resourcing.
Ready to Prove Your Compliance Program Actually Works?
A certificate on the wall means nothing if the system behind it can't survive scrutiny. ISO 37301 forces the discipline that makes your compliance program real, and we make sure that discipline is there before an auditor, regulator, or partner goes looking for it.
Schedule a 30-minute compliance readiness call and find out where your gaps are. When you reach out, we'll ask for your name, work email, company, role, and a brief note on what's driving the certification. That's enough for us to come prepared.