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SRA Compliance Audit

Most small law firms do not have the budget or capacity to have full-time compliance officers. This means the COLP, COFA, MLCO/MLRO and Data Protection Officer often end up carrying out onerous duties in their spare time. It is also difficult to keep up with the latest guidance and keep your policies and procedures in order. We support compliance officers and offer help on all aspects of SRA compliance. We know what it is like to hold a compliance position as we have done it ourselves.

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AML

We can provide you with AML support, starting with a robust and compliant AML Policy. We also offer an AML audit which follows the Money Laundering Regulations 2017 requirement for the firm to establish and have an independent AML audit function. Our reviews are inexpensive and follow the process outlined by the SRA in their annual AML risk reviews.

We can also help you write and update your AML Practice Wide Risk Assessment. This crucial and legally mandatory document (that firms sometimes overlook) is the basis of all your AML countermeasures.

We also can support you if you are selected for a SRA AML monitoring visit.

COLP/COFA audits

Using our bespoke solicitors’ compliance checklists coupled with years of experience, we carry out the audits in any areas of compliance concern. This includes reviews of policies, processes, and time-consuming file reviews. We will provide you with an easy-to-follow audit report on the compliance of your firm against 20 key performance indicators, with our recommendations for remediation. We can also help you prepare a remediation plan that will satisfy the SRA that you are taking any non-compliance seriously.

COLP/COFA breach reporting

Discovering a breach of the SRA Codes of Conduct can be extremely stressful. Often, you need to talk to someone confidentially when you discover an issue. We can help you with deciding whether and what to report and with the submission of a breach report. By remediation planning, we can ensure that you properly remediated the breach, mitigating the likelihood or impact of any SRA enforcement action.

Data Protection

Whether you want:

a new data protection policy and documentation;
your processes audited;
to know how to report a breach;
support devising a new policy such as Bring Your Own Device to Work; or
help drafting a Data Privacy Impact Assessment when you are considering buying a new case management system

We can help the Data Protection Officer take the steps to protect your practice against unnecessary action.

SRA Monitoring Visits

If the SRA has chosen you for an inspection, we can help you prepare for the visit so that you can answer any queries and produce the documents requested.

With many years of practical experience, together with extensive SRA compliance knowledge, we are there to help. We are non-judgemental and supportive.

Enderley Consulting have been so supportive. They are a pleasure to deal with and we would not be able to do without them.

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Russell Conway, Senior Partner, Oliver Fisher Solicitors, London

[Enderley] designed a compliance system which was simple for all the staff to follow and … easy to follow compliance plans for both COLP and COFA … We would highly recommend them for all legal practices that want to be 100 per cent compliant.

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Shahzad Khan Raja, Managing Director, SKR Legal Solicitors, Leicester

What happens next?

That is straightforward. Just pick up the phone and call us on 01743 294 863 or alternatively email us at sophie@enderleyconsulting.co.uk and we will call you back.

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