Bespoke Compliance Training for Solicitors’ Firms

Targeted, risk-based courses aligned to SRA regulatory expectations

Infolegal can design and deliver bespoke training courses for solicitors’ firms, tailored to address the specific regulatory, risk and practice issues identified within an individual firm. Unlike generic off-the-shelf training, bespoke courses are built around a firm’s actual work profile, client base, systems and controls, ensuring that training is relevant, defensible and aligned with the Solicitors Regulation Authority’s (SRA) expectations.

This approach supports firms in demonstrating that training is proportionate, risk-based and effective, rather than a tick-box exercise.

The courses are delivered online so that firms can ensure that appropriate staff members are able to watch training courses wherever they are based and whenever they have an opportunity to do so.  They can be supplied as a stand alone video file, as part of the Infolegal InfoHub training course system alongside other courses or in a format able to be uploaded into a standalone Learning Management System.

Why bespoke training matters from a regulatory perspective

The SRA prefers firms not to deliver identical training to all staff, but instead, it expects firms to:

• understand the risks arising from their practice,
• ensure that staff are competent to carry out their roles, and
• put in place appropriate systems and controls.

Bespoke training allows firms to address:

• practice-area specific risks (e.g. conveyancing, litigation, private client, corporate),
• firm-specific incidents or near misses,
• regulatory themes identified by the SRA, and
• weaknesses identified through internal audits, file reviews or risk assessments.

For COLPs and COFAs, bespoke training provides clear evidence that the firm has identified a regulatory risk and responded with targeted mitigation, which is a key element of effective compliance.

Bespoke AML training and regulatory expectations

Tailored anti-money laundering training is a particular focus for regulators.

Under the Money Laundering Regulations 2017, firms must ensure that relevant staff are:

• aware of the law relating to money laundering and terrorist financing, and
• trained in the firm’s policies, controls and procedures, having regard to the specific risks faced by the business.

Generic AML training alone is unlikely to be sufficient where a firm:

• undertakes higher-risk work,
• operates in higher-risk jurisdictions,
• deals with complex structures or sources of funds, or
• has identified weaknesses through its firm-wide risk assessment.

Infolegal’s bespoke AML training can be designed to:

• reflect the firm’s actual risk profile,
• incorporate the firm’s own AML policies and procedures,
• address practice-specific risks (for example, conveyancing, private client or corporate work),
• focus on areas such as PEPs, source of funds and wealth, sanctions, or high-risk transactions, and
• respond directly to issues raised by the SRA, auditors or insurers.

This helps firms demonstrate compliance with both the letter and the spirit of AML regulatory requirements.

How Infolegal develops bespoke training

Each bespoke course is developed through consultation with the firm as to its precise needs, what it wants to have addressed and at whom the course is aimed. This may include:

• reviewing the firm’s practice areas, risk assessments and regulatory profile,
• identifying the regulatory obligations and guidance most relevant to the issue,
• mapping content to SRA principles, Codes of Conduct and, where relevant, AML legislation,
• incorporating the firm’s internal policies, procedures and workflows, and
• building assessment or knowledge checks where appropriate.

Courses can be delivered as:

• online e-learning modules,
• short targeted refresher courses,
• role-specific training for partners, fee earners or support staff, or
• compliance-led briefings following regulatory change or internal incidents.

Supporting the SRA’s approach to continuing competence

The SRA’s continuing competence regime requires solicitors and firms to:

• reflect on learning needs,
• take appropriate steps to address them, and
• keep evidence of learning and its relevance.

Bespoke training directly supports this framework by ensuring that learning:

• is linked to identified risks or competence gaps,
• is relevant to the individual’s role, and
• can be clearly justified if questioned by a regulator.

For firms, this provides a defensible audit trail showing why training was commissioned, what it addressed, and how it reduced regulatory risk.

Practical benefits for COLPs, COFAs and firms

Bespoke training enables those responsible for compliance to:

• respond proactively to regulatory risk,
• demonstrate effective systems and controls,
• evidence thoughtful, proportionate compliance decisions, and
• reduce reliance on generic training that may not reflect the firm’s reality.

It also helps embed a culture of compliance, where staff understand not only what the rules are, but why they matter in the context of the firm’s work.

A targeted approach to compliance training

Infolegal’s bespoke training service is designed for firms that want more than standardised content. By focusing on regulatory relevance, risk mitigation and evidential value, bespoke courses help firms meet SRA expectations while delivering training that is meaningful, practical and defensible.

If you would like to discuss tailored training for your firm particularly in relation to AML, sanctions, client money or emerging regulatory risk then please contact us on enquiries@infolegal.co.uk.  Infolegal can help design a solution that fits your practice and your regulatory obligations.