Help your panel firms to stay compliant and strengthen risk management

Assess | Evaluate | Protect

We help lenders, banks, and building societies to ensure that the law firms on your panels meet regulatory requirements and adhere to your standards.

Our expert team provides an audit service for your panel firms. In addition, if instructed to do so, we can also provide clear, practical advice and advise on best practice across the whole spectrum of risk and compliance issues facing law firms.

Enhanced Compliance Audit

Our Enhanced Compliance Audit is a comprehensive remote review conducted over two days. It assesses key areas of risk and regulatory compliance, ensuring your panel firms operate at the highest standards.

Key Areas Covered:

✔ Anti-Money Laundering (AML) and Financial Crime Prevention

✔ Client Money Protection & Financial Controls

✔ Ethical Conduct & Integrity

✔ Cyber security

✔ Information Securit

✔ Service Standards and Regulatory Best Practices.

We conduct a number of file reviews (dependent on the size of the firm) and provide an objective, consistent assessment of the firms’ processes. They receive a detailed audit report which offers valuable insights to strengthen compliance across each of the firms.

Why Choose Us?

Our team consists of highly experienced compliance professionals who bring extensive expertise to every audit. We provide a fast, efficient, and cost-effective service, ensuring minimal disruption to the panel firms. Our audits are objective, consistent, and independent, offering a thorough and impartial assessment of your compliance processes.

By identifying risks at an early stage, we help prevent potential compliance issues before they escalate. Most importantly, we deliver clear and practical recommendations, giving you actionable insights to strengthen your firms’ policies and procedures.

We don’t just identify risks—we help firms to implement effective solutions to enhance controls, reduce exposure to regulatory breaches, and help to keep your firms’ compliant.

Our Audit Process

We follow a structured five-step process to ensure a smooth, efficient audit: Step 1: Arranging the audit Step 2: Preparing for the audit Step 3: Setting up secure remote access Step 4: Conducting the audit over two days Step 5: Providing a detailed audit report and closing meeting.