Get an independent, objective view of how your compliance and onboarding teams really operate. We assess capacity, workflows, systems and MI to pinpoint what’s working and where efficiency or oversight gaps exist — helping you build a function that supports, rather than slows, your fee earners.

Compliance isn’t just about rules — it’s about mindset. This audit explores how risk and compliance are understood, owned and championed across your firm. Using interviews, surveys and governance reviews, we identify cultural strengths, blind spots and practical ways to embed a stronger risk culture at every level.

Ensure your supervision and communication arrangements stand up to scrutiny. This review looks at how reserved work is managed, who’s responsible for oversight, and how the firm protects itself from “Mazur exposure” through clear client communications and robust controls.

We review your key operational documents — policies, procedures, templates and client communications — to make sure they’re consistent, up to date and fully aligned with regulatory expectations. We’ll highlight red flags, fix inconsistencies and leave you with clear, compliant documentation that’s easy to maintain.

Stay ahead of the SRA’s focus areas. We design reviews based on live regulatory themes or SRA warning notices — from high-volume consumer claims to the misuse of client accounts. You’ll receive a targeted report identifying gaps, control weaknesses and recommended next steps before the regulator comes knocking.

With the new offence coming into force on 1st September 2025, firms must be able to show they have “reasonable procedures” in place to prevent fraud. Our readiness audit benchmarks your current controls, identifies gaps, and helps you design and implement a proportionate fraud prevention framework.

A structured, independent assessment of partners’ compliance and risk behaviours. We co-design a scorecard aligned to your firm’s expectations, review sample files and provide individual feedback plus a board-level summary — turning compliance performance into a meaningful part of appraisal and remuneration.

A short, sharp review of your sanctions processes — from screening tools and client onboarding to ongoing monitoring and escalation procedures. Ideal for assurance between AML audits or as a quick sense-check of your firm’s exposure to sanctions risk.