DG Legal: Compliance Officer For Legal Practice Course

The role of a Compliance Officer for Legal Practice (COLP) is both influential and demanding. As the individual responsible for overseeing compliance with the SRA Standards and Regulations, COLPs play a critical role in protecting their firm’s regulatory position, managing risk, and promoting a culture of compliance. The role also carries a degree of personal accountability, making it essential for COLPs to have a clear understanding of their responsibilities and the expectations placed upon them.

This practical course provides a comprehensive overview to the COLP role, helping delegates develop the knowledge, confidence, and tools needed to fulfil their duties effectively. Whether you are newly appointed, supporting a COLP, or looking to refresh your knowledge, the course offers practical guidance on managing compliance risks and responding to regulatory challenges.

Through real-world examples and best-practice approaches, delegates will explore key aspects of compliance management, including reporting obligations, risk assessment, file reviews, compliance systems, and maintaining effective oversight across the firm.

Topics Covered

• Understanding the role, responsibilities, and personal accountability of a COLP

• Navigating the SRA regulatory framework, Principles, Codes of Conduct, and key compliance obligations

• Building and maintaining effective compliance systems, controls, and monitoring processes

• Identifying, assessing, and managing compliance risks, including file reviews and compliance planning

• Recognising reportable issues, meeting SRA reporting requirements, and maintaining effective records and breach registers

Target Audience

This online course is suitable for new and existing COLPs, those supporting the COLP function, and legal professionals seeking a practical understanding of the role, responsibilities, and regulatory expectations associated with compliance management in law firms.