Compliance Training and Consultancy

Audit Compliance assists Compliance Officers for Legal Practice (COLPs) and Compliance Officers for Finance and Administration (COFAs) dealing with the regulatory burden of compliance required under the Solicitors Regulation Authority’s (SRA’s) Code of Conduct for Solicitors and Firms.

We provide support and guidance in the following areas:

• SRA Standards and Regulations, Transparency and SRA Accounts Rules
• Firm-Wide Risk Assessments (FWRAs), Proliferation Financing Risk Assessments (PFRAs) and Sanctions Regime Risk Assessments (SRRA)
• AML and Sanctions Training for staff
• Compliance plans
• Conducting file reviews and compliance gap analysis
• Recording and reporting to the SRA
• Complaints handling and Legal Ombudsman procedures
• Law Society’s Lexcel and Conveyancing Quality Scheme (CQS)
• Legal Aid Agency’s Specialist Quality Mark (SQM)
• LawNet Quality Standard and more
• ISO 9001 conducted by Approachable Certification
• Learning and development through periodic training and knowledge updates

For more information, please do not hesitate to get in touch with us.