Legal Compliance Software Development

Obligation register cataloguing every regulatory, professional conduct, and internal policy obligation the firm is subject to -- with the source regulation, the obligation description, the due date or frequency, the responsible owner, and the evidence required to demonstrate compliance recorded for each item. Due date tracking with configurable alert lead times notifying the obligation owner and their backup when a due date is approaching and escalating to the COLP or compliance manager when it passes without completion. Evidence capture against each obligation so the completion is recorded with supporting documentation rather than a checkbox -- the client verification record, the CPD log, the AML risk assessment -- stored against the obligation entry. Dashboard view for the compliance manager showing the current status of all obligations by category, owner, and due date so the firm's compliance position is visible without interrogating individual records. Historical compliance record showing when each obligation was last completed, who completed it, and what evidence was provided -- the audit trail that demonstrates to a regulator or an internal audit that the obligation has been met consistently.

Client onboarding checklist for each new matter requiring client due diligence -- the identity verification documents required, the source of funds evidence needed for the matter type and risk profile, and the enhanced due diligence steps triggered by high-risk factors. Risk profile assessment capturing the client risk factors -- PEP status, jurisdiction, transaction type, and source of funds -- and assigning the client to a risk tier that determines the level of due diligence required and the frequency of ongoing monitoring. Document collection tracking which verification documents have been received, which are outstanding, and which have expired -- with automated reminders to the responsible fee earner when documents approach their expiry date. Suspicious activity reporting workflow for fee earners to raise an internal SAR with the nominated officer, with the report captured in the system and the required action recorded. Ongoing monitoring for higher-risk clients with a review schedule and a record of each review completion -- the due diligence status current rather than reflecting the position at the time the matter was opened.

Policy library storing the firm's current policies -- AML, data protection, conflicts, file management, complaints handling, and any sector-specific policies -- with version control showing the history of each policy and who approved each revision. Policy distribution workflow publishing a new or updated policy to the relevant staff group with a required acknowledgement, tracking which staff members have read and acknowledged the policy and chasing those who have not responded within the configured window. Acknowledgement reporting for the COLP, COFA, or HR showing the acknowledgement status for each policy across the firm -- the list of staff who have not acknowledged a policy visible without manual follow-up. Policy review schedule tracking when each policy is due for review with the responsible owner assigned and the review completion recorded when the policy is confirmed as current or updated. Training record management for obligations that require both policy acknowledgement and training completion -- the training record linked to the relevant policy and the staff member's compliance record updated when both are complete.

Conflict register recording every conflict check conducted, the result of the check, the approval decision, and the risk mitigation measures applied where a potential conflict was identified but the firm decided to proceed. Conflict search across all current matters, former clients, and counterparties so the check is run against the complete firm-wide database rather than the individual fee earner's knowledge of their own matters. Disclosure and consent workflow for situations where the conflict can be managed with client consent, capturing the disclosure given to both clients and their informed consent with the date and the fee earner who obtained it. Audit trail of every conflict situation from the initial identification through the risk assessment, the partner decision, and any ongoing monitoring required for matters that proceed despite a managed conflict. Conflict reporting for the COLP showing all conflict situations identified in the reporting period, the decision reached in each case, and any situations that resulted in the firm declining to act.

Data register maintaining the firm's record of processing activities -- the categories of personal data held, the purpose of processing, the legal basis, the retention period, and the third-party processors involved -- in the format required for GDPR Article 30 compliance. Subject access request management tracking incoming SARs with the date received, the response deadline, the responsible fee earner, and the documents disclosed -- with alerts when the response deadline approaches. Data breach logging and reporting workflow for suspected or confirmed breaches, capturing the incident details, the risk assessment, the notification decision, and where required the notification to the ICO within the 72-hour window. Retention schedule management with automated alerts when personal data held in the firm's systems reaches its retention period, with the deletion or anonymisation action recorded for audit purposes. Consent management for processing activities that rely on consent as the legal basis, with the consent record and the withdrawal process linked to the individual's data record.

Compliance dashboard for the COLP and COFA providing a current view of the firm's compliance position across all obligation categories -- overdue obligations, open risk items, AML records requiring update, and outstanding policy acknowledgements -- without requiring manual data assembly from multiple sources. Regulatory return preparation tools producing the data required for SRA regulatory returns, AML annual reports, and any sector-specific regulatory submissions from the system's records rather than from a manual spreadsheet exercise. Board and partner reporting templates showing the compliance position at the frequency your governance structure requires -- the monthly compliance report for the risk partner, the quarterly board report, and the annual review of the firm's compliance programme. Incident register recording all compliance incidents, near misses, and complaints with the root cause analysis and the corrective action taken, providing the evidence base for the firm's continuous improvement reporting to the SRA. Key risk indicator reporting showing trends in the firm's compliance metrics over time -- overdue obligation rates, AML exception volumes, complaint levels -- so the compliance manager can identify deteriorating areas before they become regulatory concerns.