Outsourced SRA compliance and COLP support packages

We offer outsourced risk and compliance support to law firms. Our aim is to take the most resource-intensive compliance burdens away from the firm and managers, giving you peace of mind that you are up to date with your regulatory obligations and are able to respond well to an SRA visit.

All of our compliance consultants are either former lawyers (now non-practising) or SRA staff with years of experience and genuine expertise in their respective areas.

Our 2-Phase Process

Phase 1: Audit & Refresh

  • We perform a gap analysis of your current policies, procedures, records and training as against expected standards
  • We get to work on remedying the weaker areas, frequently by tailoring more up-to-date and bespoke risk and compliance procedures for the firm to make use of and organising staff training. 

Phase 2: Ongoing Support

  • We organise, attend and take the minutes for your risk and compliance meetings.
  • We keep your policies and procedures up to date.
  • We deal with ad-hoc risk and compliance work, problems, queries or SRA applications.
  • We perform annual health checks.
  • We provide access to our e-learning.

Inside Phase 1: SRA Compliance Audit & Refresh

Comprehensive SRA & AML audit

We begin our work together with a meeting to discuss your concerns and then we conduct SRA and anti-money laundering audits to identify gaps.

Refresh law firm manual

There’s always something to update and so next we update or re-write your SRA office manual. This includes AML risk assessments, SRA compliance plan & more.

Website review

We will review your website to ensure that it complies with SRA requirements and draft the additional information which needs to be added including complaints & pricing.

Training

E-learning for new starters and bespoke training are included. Topics include annual updates, AML, COLP COFA, Cyber Security, Conflicts of Interest & Complaints.

Inside Phase 2: Ongoing Monitoring & Support

Regular COLP COFA updates

We can send compliance updates direct to your team and we organise and minute regular COLP & COFA meetings to keep you up to date and to monitor compliance logs.

SRA Compliance Helpdesk

Got a query? No problem. Call or email our helpdesk and one of our specialist law firm compliance consultants will usually be able to answer the question immediately.

COLP COFA rule breach assessments

Deciding whether to report a rule breach to the SRA can be difficult. Let one of our experts prepare a written assessment for you, with our recommendation.

File reviews

Gain peace of mind with some file reviews to check what is actually happening in practice. We follow a series of key compliance checks and feedback to the team on any areas for improvement.

Phase 3: Get Back to the Day Job!

Get a quote

Compliance Office in the Cloud

All our outsourced SRA COLP/COFA compliance retainer clients receive access to our Compliance Office in the Cloud platform. This allows us to support you in maintaining your COLP/COFA breach logs while ensuring you retain full, direct access to your data at all times. The platform also enables us you to enrol your team in a wide range of risk and compliance training modules, including COLP/COFA duties, SRA Compliance Updates, Anti-Money Laundering, Conflicts of Interest, GDPR, Cyber Security, Risk, Complaints, Equality, Bribery, and more. You can even use the platform to track and evidence compliance with the SRA Continuing Competence (CPD) regime.

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Month to Month Contracts Available

Clients can leave COLP support anytime… but don’t

We don’t need to tie our clients in to long contracts. The majority of our clients are on month to month contracts with us meaning that they can end the support anytime they wish. However in a typical year, all clients renew after the end of the minimum term and 95% plus choose to continue to work with us into the following year. That can only happen because we save our clients time, money and stress. If you’re not sure it’s the right option for you, try a monthly plan and see the benefits for yourself without over committing.

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Renewal after minimum term

Astraea

“We have been working with the Compliance Office for a number of years and would highly recommend their retainer support and audit services. We have found the level of expertise and the quality of support to be exceptional. A particular thanks to Jen, who provides expert, practical advice with professionalism and care. It’s reassuring to know that they are at the end of the phone if we have any complex compliance queries”

Indemnity Legal

“I would strongly recommend the team at The Compliance Office. They are great at providing timely, pragmatic, and practical advice, ensuring we stay up to date with the latest SRA guidance and never miss an SRA deadline. The whole team is very efficient and a pleasure to work with.“

APPEAL

“We are incredibly grateful for the invaluable support we’ve received from the Compliance Office over the years. Their regular, insightful updates have helped us stay well-informed and prepared for any upcoming changes…The team’s guidance has been instrumental in ensuring that we remain compliant and confident in our operations. A heartfelt thank you to the entire team — always so helpful, friendly, and quick to respond. Your support truly makes a difference!“

Crombie Wilkinson

“We have always found the Compliance Office Team friendly, approachable and responsive when dealing with issues and questions on a variety of regulatory topics. With ever increasing requirements for compliance, they are proactive in sharing developments and they take the time to talk the implications through in a way that is practical and relevant. “

Meysan

“The Compliance Office assisted Meysan in meeting its SRA regulatory obligations in the UK by offering practical guidance, carrying out internal reviews, and ensuring alignment with professional standards. They were responsive, reliable, and a pleasure to work with throughout the process.“

JSF Law

“We have used the Compliance Office for all our AML and Compliance needs and always found them to be helpful and highly responsive.  As a small firm doing often complex international work, we appreciate the reassurance and peace of mind of having a dedicated compliance specialist on call when needed.“

EJ Winter & Son LLP

“The support I have received from Jessica Irwin at Compliance Office has been consistently outstanding. Her depth of knowledge, responsiveness, and practical guidance have proven invaluable in navigating the complex and ever evolving landscape of regulatory and compliance matters. Jessica’s swift and considered advice provides crucial reassurance to those of us in positions of responsibility. Knowing I have her support allows me to focus on our work with confidence and peace of mind.“

Digiphile Law

“The Compliance Office has consistently delivered exceptional service. Their responsiveness, professionalism, and deep expertise have made them an invaluable partner. Every interaction is handled with clarity and care, and their advice is thoughtful and practical. Special thanks to Carolyn, who has been outstanding to work with – incredibly supportive, approachable, and consistently going the extra mile to help. I highly recommend the Compliance Office to any organisation seeking reliable, knowledgeable compliance support. “

Luscombe Gray

“Gareth at Compliance Office is invaluable to Luscombe Gray as a business. He combines deep regulatory expertise with practical, easy-to-implement solutions that work. Thanks to Gareth’s guidance, we have strong processes, reduced risk, and peace of mind. Gareth is professional and approachable, and I strongly recommend him.“

Robinson Ralph

“Andrew is superb. He is professional, likeable, knowledgeable and responsive to issues which arise out of the blue. He gives his full attention and is absolutely invested in his clients’ success. He installs confidence from the word go. He has our full trust and we consider him part of the team (whether he likes it or not)! Highly recommended.“

COLP Support frequently asked questions:

Are all of your staff ex-SRA?

    All of our retainer consultants are either former practising solicitors or SRA staff, or more often, both.

    You will be allocated your own consultant who will have years of experience in law firm compliance. We put an emphasis on commerciality and everyone in the team is there to make sure you can sleep easy at night but without going over the top.

    If your consultant is not available for some reason, make use of our helpdesk to speak to another experienced member of the team.

    How would we be charged for outsourced COLP retainer support

    Our fees are based on a discounted day rate depending upon how much time you are likely to need each month. Owing to our expertise, the size of the team and our wealth of templates and e-learning most of our clients only require a day or two per month, some less.

    The more time you buy, the greater the discount on the day rate. If your needs change then we can ordinarily increase or decrease the package on a month’s notice.

    Contact us for an initial consultation so we can guide you on whether we would be a good fit and what the cost would be.

    Can you be our COLP?

    The SRA does not allow you to literally outsource the COLP role but you can get our support with the ‘doing’.

    What does a typical first year of outsourced compliance support look like?

    In the first 3-6 months a focus on audits (conducted by one of our former practising solicitors, typically former SRA) and remedial work including AML audit and report, incorporating file reviews as part of that process; client care and terms audit and remedial work / updating; website audit and remedial work / updating; SRA Compliance Procedures Audit and remedial work / updating; risk and compliance training review and filling the gaps, either with e-learning or webinars which we’re happy to tailor to the firm’s needs; review of any high-risk matters / areas of concern for the firm i.e. referral arrangements or outsourcing agreements etc.

    After that point the foundations tend to be set for ongoing maintenance and support from a dedicated employee senior consultant (it’s not outsourced): Keeping policies and procedures and training and COLP COFA / their logs up to date; dealing with compliance queries, which could include support to them direct if the COLP / COFA can be kept in the loop (i.e. cc’d in etc); compliance updates and minuted risk management review meetings; rule breach assessments; ongoing file reviews from a compliance perspective if the firm wishes to continue these; simple SRA applications / mySRA work such as directorship or COLP COFA changes etc.

    Get in touch

    Call 01789 868444 or send us an email

     

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