Compliance Training for Law Firms
Compliance & AML Training for Law Firms
Maintaining effective compliance within a law firm requires ongoing training and awareness across the business.
Regulation & Compliance Office (RACO) provides practical compliance and regulatory training for law firms regulated by the Solicitors Regulation Authority (SRA). Our training courses are designed to help fee earners, compliance officers and support staff understand regulatory expectations and apply them confidently in practice.
Training sessions focus on real-world implementation of regulatory requirements, helping firms maintain effective systems and ensure staff understand their responsibilities under the SRA Standards and Regulations and the Money Laundering Regulations.
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Practical Training for
SRA Regulated Practices
Law firms must ensure that staff involved in client work understand the compliance framework that governs their activities.
Effective training supports firms to:
- Maintain compliance with SRA regulatory requirements
- Strengthen Anti-Money Laundering (AML) awareness
- Improve risk management and governance
- Ensure staff understand internal Policies, Controls and Procedures
- Demonstrate a culture of compliance across the firm
Our training courses are designed to be practical, clear and proportionate, enabling staff to understand not only the rules, but how they apply in everyday legal practice.
Tailored Training for Your Firm
Training can be delivered on a bespoke basis, allowing sessions to be tailored to the structure, practice areas and risk profile of your firm.
Sessions can be adapted to focus on specific issues, including:
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AML risk areas relevant to your practice
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Common compliance challenges faced by fee earners
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Regulatory developments affecting law firms
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Practical examples and case studies
This ensures training remains relevant and valuable for your team.
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Pre Recorded Training
Available on certain courses (indicated below). Such courses are refreshed from time to time. We only provide this when the courses are generic in content and apply to all firms. All courses have a post course Q&A session to answer any question that delegates may have.
Live Online Training
All courses can be delivered online with a live trainer who will take the delegates through the content in real time and included the ability to ask questions through the course.
In person Training
Onsite training provided delivered live and in person at your premises or location of your choosing.
Who Our Training is For
Our law firm compliance training is suitable for:
Solicitors and fee earners
COLPs / COFAs
Compliance Officers for Legal Practice / Compliance Officers for Finance and Administration
MLRO / MLCO
Money Laundering Reporting Officers / Money Laundering Compliance Officers
Practice managers and senior management
Support staff
involved in client onboarding or compliance processes
Training Courses For Law Firms
AML Training - The Basics
This course is prepared for all staff within a firm. It will provide an overview of the Anti Money Laundering (AML) rules, establishing the core features and requirements for the firm and its staff.
Course Length: 1-2 Hours
- RLive Online
- RIn Person
AML Training - The Details
This course goes into the details of the AML regulations and highlights the requirements of a firm and its staff to protect themselves and the firm, and when and how they need to take action.
Course Length: 3-4 Hours
- RLive Online
- RIn Person
Client Due Diligence
This course has been designed to assist fee earners and support staff in understanding the steps required to complete Client Due Diligence (CDD) and to comply with the requirement of the Money Laundering Regulations 2017.
Course length: approx. 2 hours
- RLive Online
- RIn Person
Source of Funds / Source of Wealth Training
Designed to guide fee earners and compliance staff on Source of Funds and Source of Wealth requirements, including identifying higher risk matters and applying Enhanced Due Diligence in line with AML regulations and SRA expectations.
Course length: approx. 2.5 hours
- RLive Online
- RIn Person
Client and Matter Risk Assessment Guidance
Designed to assist fee earners in understanding how to complete risk assessments and ensuring that the assessments they perform identify high risk issues and complies with the requirements of the MLR 2017, Insurance based risks and the requirements of the SRA.
Course length: approx. 2 hours
- RLive Online
- RIn Person
Equality and Diversity
Designed to guide supervisors and staff within on the issues raised by the Equality Act and processes the firm must adopt to ensure its protects the staff and itself from breaching the act.
Course length: approx. 2 hours
- RLive Online
- RIn Person
The Worker Protection (Amendment of Equality Act 2010) Act 2023 (Sexual Misconduct)
Designed to guide supervisors and staff within a law firm on the impact of The Worker Protection (Amendment of Equality Act 2010) Act 2023 and the practical implications of the act and strategies a firm must adopt to ensure they meet the expectations of the regulations and the SRA.
- RLive Online
- RIn Person
Accounts Rules (for staff)
Aimed at fee earning and support staff and is specifically tailored to help and help ensure that fee earners do not cause a breach of the Solicitors Accounts Rules. Cashiers are encouraged to attend the course to ensure they hear the knowledge shared.
Course length: approx 2 hours
- RLive Online
- RIn Person
COLP Masterclass
The course is designed to consider and discuss all the aspects you must implement to fulfil your duties and responsibilities as a COLP.
Course Length: 3-4 Hours
- RLive Online
- RIn Person
COFA Masterclass
A detailed course prepared for the Compliance Officer for Finance and Administration (COFA), whether you are new to the role or an existing COFA.
Course Length: 3-4 Hours
- RLive Online
- RIn Person
MLCO & MLRO Masterclass
A detailed course prepared for Money Laundering Compliance and Reporting Officers, helping to implement a robust process within the firm that provides full but proportionate protection.
Course Length: 3-4 Hours
- RLive Online
- RIn Person
DPO Masterclass
Our DPO Masterclass provides a clear, practical understanding of the regulatory framework and responsibilities of a Data Protection Officer (DPO) or Manager.
Course Length: 3-4 Hours
- RLive Online
- RIn Person
GDPR & Data Protection Training
Designed to guide fee earners and compliance staff on GDPR requirements, including handling personal data, managing breaches and responding to Subject Access Requests in line with UK GDPR and the Data Protection Act 2018.
Course Length: 2.5 Hours
- RLive Online
- RIn Person
The SRA and Law Firms inc. The Standard & Regulations
Aimed at all staff, this is a course that is essential for the Compliance Officer for Legal Practice (COLP’s) to ensure training is delivered to their staff.
Course Length: 2 Hours
- RLive Online
- RIn Person
Risk & Regulation Management
This course is specifically aimed at risk and compliance managers and supervisors who have this as part of their role.
Course Length with Practical Elements: 5 Hours
Course Length without Practical Elements: 2 Hours
- RLive Online
- RIn Person
Leadership Management
This course is aimed at Law Firm Owners, Managers and Supervisors.
Course Length with Practical Elements: 7 Hours
Course Length without Practical Elements: 3-4 Hours
- RLive Online
- RIn Person
Law Firm Strategy & Planning
This is a course aimed at law firm managers and owners that discusses, in detail, how to create a strategy for the law firm and turn this strategy into a sensible, proportioned, and achievable plan.
Course Length with Practical Elements: 5-7 Hours
Course Length without Practical Elements: 3-4 Hours
- RLive Online
- RIn Person
Law Firm Marketing
A course designed for those in a law firm that are involved in or tasked with promoting the firm and managing its marketing and advertising strategy.
Provided by FireTap Legal Marketing
Course Length: 2-4 Hours
- RLive Online
- RIn Person
Performance Management
This course is aimed at anyone in a law firm who is responsible for the management of staff.
Course Length with Practical Elements: 5 Hours
Course Length without Practical Elements: 2-3 Hours
- RLive Online
- RIn Person
Mergers & Acquisition Training
There are a host of considerations which cover a range of areas, including regulatory, financial, operational, systems, clients and people.
Course Length with Practical Elements: 5 Hours
Course Length without Practical Elements: 2-3 Hours
- RLive Online
- RIn Person
Change Management
In this course, we will assist law firm owners and managers in understanding the required and critical steps to effect change successfully.
Course Length with Practical Elements: 5 Hours
Course Length without Practical Elements: 2-3 Hours
- RLive Online
- RIn Person
Hear from our clients
Why is training important for law firms?
Training enables firms to enhance staff expertise, maintain continued competence, remain informed about regulatory obligations and updates, and boost knowledge and efficiency, ensuring compliance and improved client care.
What types of training does the Regulation & Compliance Office offer?
We provide a variety of risk management, compliance and regulatory training courses and mentoring programmes, including one-on-one and group sessions for firms of all sizes and sectors. Our training can be delivered live, in person or online and for certain topics we have some pre-recorded training.
Are your training courses customised to individual law firm needs?
Yes, we specialise in developing bespoke training programmes to meet the unique requirements of each law firm and/or individuals.
Do you provide training for international law firms?
Absolutely. Our services cater to firms with multi-office setups, including those with international branches.
How does training improve profitability for law firms?
Training enhances compliance, efficiency, and knowledge, enabling partners and their staff to recognise and minimise risks, streamline processes, reduce errors and deliver excellent client service. We provide more than just standard compliance support; we equip your firm and its employees with the knowledge to enhance profitability, improve work process efficiency, and ensure compliance.
Contact Our Team
To ask any questions about the Regulation and Compliance Office and how we can support your Law Firm, please call us on 0203 985 8550, complete the online enquiry form below, or email us info@regulationandcomplianceoffice.co.uk