Skip to main

It is mandatory for every SRA regulated firm to appoint a person as the nominated Compliance Officer for Legal Practice (COLP) and a person as the Compliance Officer for Finance and Administration (COFA). The role of COLP and COFA can be carried out by the same individual.

Compliance officers are an essential part of a practice’s compliance and governance arrangements. They are instrumental in creating a culture of compliance throughout the firm and it is important that they ensure that they are in a position to carry out their role effectively.

Free Initial Discussion And Quote

For a free initial discussion and for a no-obligation quote, please call us on 0330 133 8783 or email [email protected].

Video Remote Training Available

Please email us if you’d like to receive a video training course.

Training

The responsibilities placed on compliance officers are broad and while the responsibility for compliance ultimately rests with the managers of a practice, compliance officers may also find regulatory action is taken against them personally if they fail to meet their responsibilities. In order to carry out the roles effectively and to completely cover yourself and the firm, it is vital to receive the correct training, so you have the skills and are fully aware of your responsibilities within the role.

Attendance at this course will also be helpful for those stepping into either of the reporting officer roles by way of replacement or to anyone seeking to set up a new practice through the SRA’s authorisation process. In both cases, the SRA will be likely to question the degree of understanding by the proposed office holders of their roles and responsibilities and an awareness of the array of issues under their control.

Training Course Overview

COLPs and COFAs have extensive duties and responsibilities. The training courses use widespread experience to provide practical advice and guidance to COLPs and COFAs and to answer some of the most common questions.

Some of the questions the courses will aim to answer are:

  • How can the COLP/COFA best tackle their duties?
  • What are the risks and responsibilities?
  • What does the COLP/COFA have to do in practice?
  • Can the COLP/COFA face personal liability?

COFA

The COFA course is aimed at Senior and Managing Partners, Finance Directors and Managers together with Risk and Compliance Managers that are involved with SRA compliance. It also considers the impact of SRA changes to the Accounts Rules that come into force 25th Novemeber 2019.

The Compliance Officer for Finance and Administration within a firm has a special responsibility for ensuring that clients’ money is handled in accordance with the SRA Accounts Rules and that any breaches of the SRA Accounts Rules are documented and reported back to the SRA.

This course has been developed to provide COFA’s, who have a non-financial background, with a deeper understanding of what can go wrong within a firm. The main focus of this course is to ensure that the COFA fully understands the importance of bank reconciliations (both client and office) and the warning signs which could indicate potential problems when reviewing reconciliations prepared by others.

COLP

The COLP course is comprehensive and practical, designed to tackle all the responsibilities attached to the vital role of the Compliance Officer for Legal Practice (COLP). This central position is critical in ensuring that the firm meets its regulatory obligations under the SRA Handbook.

It is aimed at COLPs, Partners, Risk and Compliance Managers and those involved in a compliance role as this course addresses all aspects of the specific obligations attached to the COLP function.

The Courses Will Cover The Following Important Areas:

  • The roles of COLP and COFA – an explanation or reminder
  • Compliance materials and reporting obligations
  • The Code of Conduct and the Accounts Rules – likely breaches
  • The duties to monitor, record and possibly report
  • Compliance update, including the GDPR

We are flexible and the training courses can be combined, or we can arrange for them to be done separately for COLP and COFA’s. We can perform these on-site specifically for your firm.

How To Get In Contact

As specialists in the legal industry, we can assist you wherever you are based. To learn more about how we can help you, then contact us today for a free initial discussion, please call us on 0330 133 8783 or email [email protected].

    Get in touch

    Your data will not be shared with any third party. For more information, see our privacy policy

    What our clients say

    Really enjoyed working with Ben. It’s refreshing to find an SEO consultant who is so passionate about the industry and goes the extra mile for his clients. Ben’s work with me has helped me deliver results for our firm.

    Rebecca

    Law Firm Marketing Manager

    I worked with Ben Trott and Marketing Lawyers on a project for a law firm in 2023. His expert work and guidance achieved outstanding results. I would highly recommend them.

    James O’Hara

    Partner (Solicitor)

    Fantastic help throughout the whole process!

    Yvette Ratchford

    Solicitor - Scion Legal

    An experienced and reputable company which provides advice, assistance and training for all aspects of legal marketing and business development.

    Manjinder Kang

    Solicitor

    I have worked closely with Ben over a number of years to develop and market niche new practice areas and specialisms within the law. Ben is an absolutely outstanding marketer and in particular his knowledge of and expertise in digital marketing is second to none… This led directly to an increase in new enquiries and instructions… This created a “snowball effect” in which those instructions increased our expertise in the field and, as a consequence, our ability to market ourselves and receive further enquiries and instructions. I would not hesitate to recommend Ben to anyone.

    Gary B

    Solicitor, Director

    I cannot recommend Ben highly enough. Professional at all times. . . he has been a huge success and made a significant difference to his current firm.

    Maria

    Law Firm Owner

    Ben took part in a business panel at our 2017 Lawshare Conference- Making it Work. . . Ben really impressed the audience with his knowledge of the legal market and was able to pass on practical tips on growing a law firm through marketing. Ben came across as very personable and knowledgeable with a clear passion for what he does! We had excellent feedback from the event and especially Ben’s words of advice.

    Caroline

    Senior Associate Solicitor

    I have worked with Ben professionally for a number of years. He is an extremely talented marketing director with a very broad and deep expertise in all aspects of law firm marketing. His knowledge of online-marketing in particular is second-to-none. I know of few other people as hard-working and dedicated as Ben is. I strongly recommend him for his knowledge, expertise and experience.

    Chris

    Solicitor

    I arranged two webinars through Marketing Lawyers and both were fantastic. . . we received great feedback from our webinars attendees.

    Hayley Manson

    Setfords

    Great presentation from Ben to our event for lawyers, really good applied examples and discussion after the event too!

    David

    Nexa Law

    Trusted by

    Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo
    View more

    As Featured in

    Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo Logo

    Client testimonials