CONSULTING AND AUDITS
SRA compliance is our day job.
The Compliance Office takes your compliance burdens off your desk, giving you peace of mind that you are compliant and will stay that way. Trusted by SRA-regulated law firms across the UK.
Key Capabilities
How we work with your firm.
DISCOVER
We find out where the real risk sits.
Before recommending anything, we benchmark your firm against expected SRA and AML standards and flag exactly where you’re exposed.
DELIVER
We do the work, not just report on it.
Documents get rewritten, procedures get rebuilt, weak spots are closed out, and we train your firm, so you’re left with fixes, not just a list of problems.
SUSTAIN
We stay involved for as long as you need us.
Ongoing clients get a team that keeps showing up, in your meetings, on our helpdesk, and in your corner if the SRA ever comes calling.
key features
A closer look at what The Compliance Office does
Support that goes as deep, or as wide, as your firm needs.
Where every engagement starts
Every engagement begins with a gap analysis of your current policies, procedures, records and training against expected SRA and AML standards.
We review your client care documents, law firm manual and website for SRA compliance, including complaints and pricing information, refreshing or rewriting anything that falls short.
We then tailor bespoke, up-to-date policies and procedures to ensure you are compliant.
We review your client care documents, law firm manual and website for SRA compliance, including complaints and pricing information, refreshing or rewriting anything that falls short.
We then tailor bespoke, up-to-date policies and procedures to ensure you are compliant.
Outsourced COLP, COFA and MLRO support
Your compliance team provides you with a dedicated outsourced partner who will work with you to ensure you stay up to date and fully compliant with regulatory requirements. From knotty compliance queries, breach assessments, and file reviews to attending and minuting quarterly risk and compliance meetings, your consultant is there to support you with your compliance needs.
Your data is always in your hands
Your COLP and COFA breach logs are maintained on our cloud platform, but the data stays yours, accessible whenever you need it.
AML audits and risk assessments
We carry out Regulation 21 compliant, Independent Anti-Money Laundering audits. During the audit we review your policies, controls and procedures, interview staff and review files, then provide you with a detailed report highlighting any gaps or areas of concern. We can then work with you to fill any gaps and keep your AML policies, controls and procedures up to date and ready for scrutiny.
Authorisation and accreditation support
We support SRA authorisation, ABS conversions and new law firm applications, alongside Lexcel and CQS accreditation support.
Training and bespoke projects
Clients get access to a full suite of risk and compliance eLearning, alongside our suite of compliance registers (such as complaints, claims and undertakings). We also take on bespoke compliance projects such as in-person training, advice on knotty compliance issues, drafting bespoke policies and file audits.
Frequently Asked Questions
