Starting Strong - Top Tips for New Law Firm Compliance Officers

Introduction

Stepping into the role of compliance officer — whether as COLP, COFA, or general compliance lead — comes with significant responsibility. From managing regulatory obligations to embedding a culture of compliance across the firm, new officers must quickly develop the confidence and competence required to succeed.

In this practical webinar, compliance expert Mandy Hargun will provide clarity on the role and duties of compliance officers within SRA-regulated practices and will offer clear, actionable guidance to help new officers identify and prioritise early compliance tasks and understand key areas of risk.

This webinar will also explore how to foster a culture of openness, reporting, and accountability across the firm, helping you build an environment where compliance is valued and supported. In addition, this webinar will offer practical advice on protecting your firm, safeguarding client interests, and managing your own responsibilities as a compliance officer.

Whether newly appointed or simply looking to build confidence in your role, this webinar will provide the tools you need to navigate your compliance responsibilities effectively.

What You Will Learn

This webinar will cover the following:

• Understanding the core responsibilities of a compliance officer (e.g., COLP and COFA)
• Overview of key regulatory frameworks:
• SRA standards and regulations and confidentiality
• How to establish a strong compliance culture from the outset
• Designing and maintaining effective compliance policies and risk registers
• Tips for dealing with common risk areas:
• Conflicts of interest
• Complaints handling
• SRA self-reporting - when and how to escalate issues internally or to the SRA
• Having an open-door policy (safe place)
• Supporting and training colleagues on compliance responsibilities

This pre-recorded webinar will be available to view from Monday 17th November 2025

Alternatively, you can gain access to this webinar and 1,800+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.