The roles of Compliance Officer for Legal Practice (COLP) and Compliance Officer for Finance and Administration (COFA) are fundamental to the way solicitors’ practices are regulated in England and Wales. The Solicitors Regulation Authority places personal responsibility on those appointed to these roles to ensure that firms comply with regulatory requirements, maintain effective systems and controls, and report serious issues promptly. These are not passive or purely administrative roles; they require active oversight, judgement, leadership and the confidence to challenge practices within the firm where necessary.
Infolegal provides dedicated, specialist COLP and COFA support services to help firms and their compliance officers meet these demanding responsibilities in a structured, practical and proportionate way. This service sits beneath Infolegal’s wider in-person and bespoke compliance offering and works alongside the Infolegal InfoHub to provide both day-to-day tools and access to expert advice when it is most needed.
Under the SRA Standards and Regulations, every authorised body must appoint a COLP and a COFA whose designations are approved by the regulator. Their responsibilities are set out primarily in paragraph 9 of the SRA Code of Conduct for Firms and are central to the SRA’s supervisory model. In essence, the COLP is responsible for ensuring compliance with the firm’s authorisation and regulatory arrangements as a whole, while the COFA has specific responsibility for compliance with the SRA Accounts Rules and the protection of client money.
In practice, this means that COLPs and COFAs must ensure that effective compliance arrangements are in place, that those arrangements are monitored on an ongoing basis, and that issues are escalated and addressed appropriately. They must also make difficult judgements about whether matters are capable of amounting to serious breaches and whether they should be reported to the SRA. The SRA has been clear that failures in these roles, particularly failures to report, can themselves lead to regulatory action.
For many solicitors, particularly partners, directors or sole practitioners, acting as COLP and/or COFA can be a challenging and sometimes uncomfortable role. The responsibilities are wide-ranging and can cut across every area of the firm’s work, from client care and supervision to AML, data protection, complaints handling, financial stability and governance.
In smaller firms, it is common for one individual to hold both roles, adding further pressure and increasing the risk of oversight. Even in larger practices, compliance officers can feel isolated, particularly where they are expected to fulfil the role alongside full fee-earning or management responsibilities. Keeping up with regulatory change, maintaining appropriate records, operating breach registers, overseeing training and responding to emerging risks can be time-consuming and complex.
Infolegal’s COLP and COFA support services are designed to provide practical reassurance, independent challenge and structured assistance. Our support recognises that compliance officers do not simply need information about the rules; they need help applying those rules in real-world situations.
We assist COLPs and COFAs with understanding and documenting their terms of reference, setting up and reviewing compliance frameworks, and ensuring that reporting lines and governance arrangements genuinely empower them to fulfil their roles. We also provide advice on breach assessment and reporting, helping compliance officers make defensible decisions and maintain appropriate records to justify their approach.
Where firms face specific issues – such as repeated low-level breaches, emerging systemic risks, SRA engagement or internal governance concerns – Infolegal can provide targeted advice and hands-on support. Where appropriate, this support is delivered alongside specialists from Enderley Consulting, particularly where firms require additional strategic or governance input.
A central element of Infolegal’s COLP and COFA support is the Infolegal InfoHub, which provides a comprehensive suite of resources specifically designed for compliance officers. These include detailed COLP and COFA Guidance Notes explaining regulatory expectations in clear, practical terms, and structured COLP and COFA checklists that break down responsibilities into manageable sections.
The checklists help compliance officers ensure that key duties are addressed across areas such as governance, supervision, AML, data protection, complaints handling, financial management and Accounts Rules compliance. They also provide a useful framework for periodic review, internal reporting and discussions with senior management.
In addition, the InfoHub includes tools for maintaining breach registers, recording decisions, tracking training and evidencing compliance. This enables COLPs and COFAs to demonstrate that systems and controls are not only in place, but actively monitored and reviewed, creating a clear audit trail in the event of regulatory scrutiny.
Effective COLP and COFA support is not just about protecting individual role-holders; it is about supporting a wider culture of compliance within the firm. The SRA increasingly expects firms to demonstrate that compliance is embedded into everyday practice, supported by training, supervision and leadership from the top.
Infolegal helps firms align COLP and COFA responsibilities with wider compliance and risk management frameworks, ensuring that compliance officers are supported rather than undermined. This includes helping firms understand their obligations to protect and empower compliance officers, provide appropriate resources and avoid placing them in invidious or unsupported positions.
Firms that use Infolegal’s COLP and COFA support services benefit from clearer governance, stronger systems and increased confidence in their regulatory arrangements. Compliance officers are better equipped to identify and manage risks proactively, reducing the likelihood of regulatory intervention, enforcement action or reputational damage.
Most importantly, Infolegal helps firms move from reactive, issue-driven compliance to proactive, well-governed regulatory management. By combining expert advice, practical tools and the resources of the Infolegal InfoHub, firms can ensure that COLPs and COFAs are properly supported, regulatory expectations are met, and compliance becomes a strength rather than a burden.
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