Law Firm Compliance

Anti-money laundering isn't just a compliance box to tick—it's a daily responsibility that protects your law firm, your clients and your professional standing. A scenario-led course for every role in your law firm.

Risk assessments sit at the heart of effective AML compliance in legal practice, but they are often treated as box-ticking exercises. This focused course shows your people how to use risk assessments as a practical filter that protects the firm, its lawyers, and its clients from financial crime.

A firm-wide risk assessment (FWRA) is the backbone of a law firm’s AML framework—but in many practices it is either generic, outdated, or sits on a shelf. This course gives leaders and compliance teams a clear, practical roadmap for designing, documenting and maintaining a FWRA that genuinely reflects the firm’s risks and drives better decisions. Learners see how a strong FWRA underpins client and matter risk assessments, resource allocation and regulatory confidence.

Assessing each client’s risk profile is a core part of AML compliance and can’t be left only to specialists. This course shows fee earners, onboarding staff and supervisors how to use a structured, practical approach to client risk so they can decide what checks are needed, how closely to monitor a relationship, and when to say no.

Understanding where a client’s money comes from is central to effective Anti-money laundering (AML) compliance, yet Source of Funds and Source of Wealth checks are often the part clients like least. This course helps your teams handle SoF and SoW in a confident, proportionate way that protects the firm without needlessly frustrating clients. Using contrasting scenarios, learners see when basic checks are enough and when deeper questioning and evidence are essential.

Even when a client is low or medium risk, a particular instruction can be high risk because of what is being done, how it is structured, or how money will move. This course shows fee earners and supervisors how to assess risk at matter level, tailor controls accordingly, and know when to escalate. Using contrasting acquisition scenarios, learners see how similar clients can generate very different levels of matter risk.

Client due diligence (CDD) is where AML compliance meets real clients and commercial pressure. This course gives fee earners a practical framework for deciding when standard CDD is enough and when a matter must be escalated. Using contrasting scenarios, learners see how to distinguish straightforward clients from higher-risk instructions and how to brief compliance clearly when concerns arise.

Standard client due diligence is about confirming identity; enhanced due diligence is about testing integrity. This course shows fee earners, partners and compliance teams how to move from basic verification to a structured, investigative approach whenever higher-risk features appear. Using realistic scenarios, learners see when EDD is legally required, what extra evidence is needed, and how to build a file that can withstand regulatory scrutiny.

Anti-money laundering compliance in law firms depends on the everyday vigilance of everyone who deals with clients or files—not just specialists. This course helps staff at all levels recognise common AML red flags and understand exactly what to do when they appear.

In AML compliance, if it is not on the file, regulators will assume it did not happen. This course shows lawyers, supervisors and support teams how to create clear, complete AML records that demonstrate sound judgement—not just a stack of documents. Through a Horizon Engineering case study, learners see how seemingly small gaps in documentation can create real regulatory risk even where the client is entirely legitimate.

Knowing when and how to make a Suspicious Activity Report is one of the most sensitive parts of AML compliance for law firms. This course gives fee earners, supervisors and MLROs a clear, practical framework for handling suspicion—recognising when the reporting threshold is met, escalating internally, and engaging with authorities without tipping off clients. Using a Greenbridge property scenario, learners see how ordinary work can cross into SAR territory and what happens next.