Map training to risk by department
Transactional teams such as conveyancing and probate carry higher AML risk and often have compulsory checks. Other work — wills and LPAs, for example — may apply KYC, sanctions checks, and risk assessments differently. Training should reflect those differences, and the records should show it.
Be consistent across the firm
Inconsistency between departments — confusion among fee earners about what checks apply where — is a recurring issue. Role-specific training should clarify, not muddy, what applies in each area. Aim for consistency throughout the firm.
Capture acknowledgement and understanding
Assign training by role and department, capture timestamped acknowledgement, and test comprehension where it matters. That gives you evidence that each team understood the training relevant to its work.
Keep it current
When policies or risks change, role-specific training should be refreshed and re-acknowledged. Linking training to the underlying policy makes it clear when an update is needed.
Reglo helps firms keep this evidence organised and audit-ready — humans approve every change. AI drafts and organises; your compliance team decides.
This guide is general information for compliance teams, not legal or regulatory advice. Always refer to the SRA's current guidance and take your own professional advice where needed.