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SERVICES

All consultancy services are available on an ad hoc, retained or project basis.
Call or email to discuss your individual requirements

REGULATION 21 INDEPENDENT AML AUDITS

Independent AML: audits carried out in line with Regulation 21 of the Money Laundering Regulations 2017, providing firms with objective assurance over the effectiveness of their AML framework.

 

​Audits assess compliance against:

  • The Money Laundering Regulations 20`17

  • LSAG guidance

  • SRA expectations and thematic findings

Each audit includes clear, practical findings and proportionate recommendations to support continuous improvement and regulatory readiness.

AML COMPLIANCE SUPPORT

Ongoing or project-based support to strengthen AMNL frameworks, including:

  • Drafting and reviewing AML policies, controls and procedures

  • Supporting updates following regulatory change or updated guidance

  • Assisting firms in aligning procedures with real-world working practices

  • Practical guidance to help firms evidence compliance confidently

REGULATORY COMPLIANCE AUDITS

Independent reviews of regulatory compliance across key risk areas, helping firms to:

  • Identify gaps and areas of improvement

  • Prepare for regulatory visits or accreditations

  • Strengthen governance, supervision and oversight

RISK AND COMPLIANCE SUPPORT (GENERAL)

Flexible support for firms requiring advice, guidance or reassurance on regulatory, risk and compliance matters, including:

  • Ongoing advisory support

  • Risk assessments and mitigation planning

  • Governance and supervision frameworks

RISK AND COMPLIANCE SUPPORT FOR SMALL FIRMS AND SOLE PRACTITIONERS

Tailored support recognising the unique pressures faced by small practices and sole practitioners, offering:

  • Proportionate and practical compliance solutions

  • Clear, jargon-free advice

  • Support that reflects limited resources without comprising regulatory standards

CQS AUDITS AND GAP ANALYSIS

Independent CQS audits and gap analysis against:

  • All 40 Core Practice Management Standards

  • The CQS Scheme Rules

Designed to provide clarity on compliance status, identify areas for improvement and support successful accreditation and renewal.

CQS APPLICATION SUPPORT

Hands-on support with CQS applications to ensure:

  • Accuracy and completeness

  • Clear alignment with Scheme requirements

  • Reduced risk of delay or rejection

CQS CONSULTANCY

Ongoing consultancy support, including:

  • Drafting and refining bespoke policies and procedures

  • Aligning documented processes with actual working practices

  • Preparing firms for assessment and ongoing compliance

LEXCEL CONSULTLANCY

Support across all stages of Lexcel accreditation, including:

  • Pre-assessment audits

  • Support ahead of initial assessments

  • Ongoing compliance and annual maintenance visits

COMPLIANCE RETAINER SERVICES

Flexible retainer packages designed to provide predictable, ongoing support.  Options include Light, Standard and Premium levels, allowing firms to access regular compliance advice without the need for ad-hoc instruction.  Retainers can include:

  • Day-to-day compliance queries

  • Regulatory guidance and interpretation

  • Policy updates and risk support

  • Ongoing oversight and reassurance

INDEPENDENT FILE REVIEWS

Independent file reviews carried out monthly, quarterly or at a frequency agreed with the firm, providing:

  • Objective assurance

  • Identification of trends and training needs

  • Practical, proportionate feedback to support continuous improvement

IN-HOUSE TRAINING

Bespoke training delivered in-house or remotely, including:

  • AML and financial crime

  • Source of Funds and Source of Wealth

  • SRA Codes of Conduct

  • Risk management and regulatory compliance

Training is tailored to the audience and delivered in a practical, engaging way that supports real understanding and application.

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