Online Compliance Training

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Compliance Training for All Law Firm Staff

A key element in any firm’s compliance with regulatory requirements is ensuring that all personnel are aware of what is required of them. The compliance training on the InfoHub helps to achieve this.

Covering a range of regulatory, management and compliance related topics, the online training modules provide an overview of most of the areas most likely to be encountered in practice – several of which are required by standards such as Lexcel and the CQS.

Many of the modules are tailored to address the needs of particular personnel within the firm – for example AML training courses aimed at both fee-earners and support-staff – and designed to address those particular issues likely to be encountered by firms.

All courses can be made accessible only to those staff that need to undertake them, and there is a comprehensive course management function built into the Infolegal InfoHub to allow training managers to follow up on the training undertaken.

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Training Courses Available

The Infolegal Compliance Hub contains a range of training modules covering the main compliance and regulatory topics that solicitors firms will need their personnel to be aware of. These include courses dealing with:

Money laundering,
Data protection,
Conflict and confidentiality,
Risk management,
Accounts,
Equality and diversity,
Duties of the COLP and COFA,
Introductions and referrals,
Retainers,
Client care,
Cybersecurity,
Financial Services,
Financial Crime, and
Property and Mortgage Fraud.

Course Follow Up

Those who have taken a course will be able to demonstrate their understanding of the topics covered within it by taking a short quiz (with certificates available for printing and downloading), the results of which are recorded and can be accessed by them along with their profile information. In addition, all courses allow the user to take and keep notes on the course page to assist with their own learning and follow up.

In addition, users are referred to other resources that may be of help to them such as the factsheets and guidance notes on the InfoHub and, those with access to the compliance zones can follow links to external resources as well.

Quizzes have the option to be “automarked” if the user achieves a passmark and the system retains a record of unsuccessful attempts which can be viewed by the firm’s Course Manager so that potential issues can be identified and addressed.

Keeping Track of Your Training

Keeping a record of training undertaken by everyone is increasingly important – not simply so as to be able to demonstrate compliance with SRA training requirements but also to be able to satisfy the requirements of Lexcel and the CQS.

The training section of the Infolegal InfoHub will assist with this.

All users are able to log-in to the courses under their own names and maintain their own records. They can also view which courses they have done and which remain to be taken using the User Profile section. They can also download a certificate for retention on their training file as evidence of their training at compliance audits.

In addition, the Infolegal InfoHub allows individuals to record a training plan and the training that they have undertaken other than on the Compliance Hub – and to save a record of that training for the firm’s training log.

Managing Training through the Compliance Hub

Administrator level users of the InfoHub can appoint anyone within the firm to be a training/course manager and to have responsibility for the training, either across the whole firm or in relation to those for whom they are responsible.

The training/course manager will be able not only to select which courses to assign to which member of the firm, but will also be able to see how those individuals perform in any related tests and the notes they have made.

Where users have attempted a quiz more than once the system will record how they did in each attempt and which questions were answered correctly. Quizzes can even be re-issued to specific individuals if it is felt that a refresher on a particular topic would be useful.

Infolegal updates and amends all courses when regulations or circumstances change and older courses are kept in an archive section so that users can demonstrate that they have undertaken earlier versions where necessary.

Firms have total control over who is able to take which of the courses and these can easily be assigned in a number of ways. Firms can also download complete records of all of the courses attended by staff and how they performed in the associated tests in the form of CSV files. These can be opened in Excel, Numbers or similar programmes and can then be incorporated for use in internal reports.

Course Managers receive regular emailed reports telling them how often staff have undertaken quizzes and they can check their performance on all of the attempts.

Other Features

In addition to being able to access the courses provided by Infolegal, individual users can use the InfoHub to plan and record other training they have undertaken – either by means of specific courses or using one of the other accepted methods of maintaining competence – for example reading, mentoring or Internet research.

All of the records made can be saved within the firm’s secure part of the Infolegal InfoHub and viewed by the individual making the record or by a training or other manager.

In addition, to help users to gain a better understanding of hat is required of them in respect of their continuing competence, there is an explanation of the current SRA requirements and a guide to the forms of training that are generally regarded as acceptable.