Compliance without dependency.
ComplianceMinder helps law firms move beyond spreadsheet drift, policy decay and expensive retainers by turning compliance into a live, inspectable system.
A compliance module in a box
ComplianceMinder is a separate compliance product for law firms that want their complete policy set, firmwide risk, registers and remediation in one owner-controlled system.
It is case-management-system agnostic, so it still makes sense whether a firm runs on a legacy practice-management platform, boxed legal software, or nothing structured at all. But it becomes even more useful when it can plug into live daily operational data.
Horizon scanning that turns into live policy updates.
Twice a year, ComplianceMinder scans SRA, Lexcel and Law Society updates, turns those into proposed policy changes for director review, and once approved incorporates them into the firm's live working version while preserving the previous approved version with a full audit trail.
Scan
Twice-yearly scan of SRA, Lexcel and Law Society updates.
Propose
Relevant updates drafted as proposed policy changes.
Directors approve
Every change is put to the directors for sign-off.
Publish live
On approval, the live working version is updated.
Preserve
The previous approved version is archived and version-controlled in SharePoint.
The result is a living policy set with a full audit trail — what changed, when, who approved it, and what the firm was working to before.
When policy changes, operations should change with it.
ComplianceMinder does not stop at policy review. It scans regulatory and standards updates, proposes changes for director approval, and updates the firm's live working policy set.
When connected to CaseMinder, those approved changes can then flow into the operational layer too — updating workflows, processes and prompts so the firm's day-to-day behaviour stays aligned with the policies it says it follows.
Scan & propose
Regulatory and standards updates become proposed policy changes.
Directors approve
Changes are signed off and the live working policy set is updated.
Flow into workflow
Approved changes feed into workflows, processes and prompts in the operating layer.
Behaviour changes
The firm's day-to-day practice updates in step with the policy.
A well-written policy is not enough on its own. If the firm is not actually working that way, the policy will not save it.
The compliance dashboard owners should have had all along.
ComplianceMinder gives directors, COLPs, COFAs, MLCOs and MLROs a live dashboard showing current compliance state, outstanding remediation, risk position, policy status, evidence trail and version history in one place.
- Current compliance state across the firm
- Outstanding remediation and actions
- Live firmwide risk position
- Policy status — current vs proposed
- Evidence trail for every requirement
- Version history and director approvals
Always ready. Not rebuilt in a panic.
The firm-wide risk assessment is mandated — and too often it gets thrown together the day before the SRA asks to see it. ComplianceMinder is the opposite of that.
Because it is fed by live compliance metrics, it holds an up-to-date picture of your complete compliance state at all times. The firm-wide risk assessment can be generated or refreshed at the touch of a button — with a downloadable PDF snapshot whenever you need one.
Live policy. Live risk. Live evidence.
ComplianceMinder houses the firm's complete policy suite as live controlled documents. It enables the firmwide risk assessment at the push of a button, then links that to registers, remediation and version-controlled updates.
It scans SRA, Lexcel and Law Society updates twice a year, suggests policy changes for discussion with the law firm owners, and once approved updates the live version while archiving the old version to SharePoint with proper version control.
- Full policy library as live controlled documents
- Firmwide risk assessment engine
- Registers and remediation in one inspectable system
- Twice-yearly regulatory update scanning
- Suggested updates before owner approval
- SharePoint archiving and version control of prior versions
Useful on its own. Better with live data.
Standalone, ComplianceMinder gives firms structure where they currently have document sprawl: policies, registers, versioning, approvals, gap review and firmwide risk all in one place.
Integrated with CaseMinder or another live workflow source, it becomes more powerful because it can draw on actual daily operational signals: risk assessments, file reviews, source-of-funds patterns, completions data, audit logs and workflow behaviour. That means compliance can be measured against what the firm is really doing, not just what the handbook says.
The problem with traditional compliance support
Too many firms are paying for compliance support that is expensive, inconsistent and invisible until inspection pressure arrives. Policies exist, but drift. Registers exist, but decay. Remediation exists, but lives in somebody's inbox.
ComplianceMinder replaces that with a system the owners can inspect directly.
Owner visibility matters
Law firm owners, COLPs, COFAs, MLCOs and MLROs should not need a retainer just to discover whether the firm's compliance exists in reality. They need to see current state, changes, outstanding remediation, evidence trail and version history for themselves.
That is what ComplianceMinder is for.
Compliance you can evidence, end to end.
A structured, evidenced way to run the firm's obligations — with an audit trail behind every action, and sensitive surfaces gated to the MLCO, MLRO, COLP and directors.
Versioned policy & approvals
Edit a policy with a mandatory reason; every change creates a new version and a formal go-live step. Nothing is overwritten silently.
Attestations & control tests
Staff attest to the current version of a named policy; scheduled control tests are recorded pass/fail with evidence and a clear overdue view.
Breach & incident logging
Log a breach against a policy or matter with severity and reason — the right people are notified immediately, not after the fact.
MLCO → COLP review chain
Red-flag and high-risk matters flow through a structured review queue to a recorded terminal COLP sign-off.
Firm-wide risk & evidence packs
Matter risk rolls up into a firm-wide register and high-risk view, with downloadable evidence packs and monthly regulatory exports.
AML & client due diligence
Per-matter AML completion signals, MLRO alerts, and director vouching for ID where automated checks can't reach.
Questions owners ask
Feed live operational data into compliance
CaseMinder gives ComplianceMinder better fuel. If you want compliance driven by live operational data rather than static paperwork, connect the two — then add Electra HR for the people layer usually missing in smaller firms.
Make compliance inspectable.
Live policies, firmwide risk and evidence the owners can see for themselves.