Legal Compliance Audit

You’ve put the policies and training in place, but is it working?

The time that those responsible for Compliance have is precious. For many of our clients, they also have fee earning and other management responsibilities. They need to know what they’ve invested time (and often money in) is working, which is where we come in.

Working with a firm, we will conduct a paper-based review of the policies and procedures, before attending onsite to test them through staff interviews and file reviews.

At the end of the review, we provide a report detailing where we feel the firm has met the requirements and our recommendations where they haven’t.

From the feedback we get from our clients, the most valuable part of our audits is the chance for those responsible for compliance to sit down for a few hours with one of our experts and get the answers to those questions they’ve been struggling with, and hear about our experience of good practice.

We offer audits in the following areas:

…which are compliant with the Money Laundering Regulations Independent Audit requirement.

Read more about the support we offer in the areas above or get in touch for a chat about how we can help!