We’re excited to be launching a new series of quarterly Compliance Office webinars, covering different regulatory and compliance topics affecting law firms.
And for our first session, we’re starting with a topic we know is high on the agenda for many firms – SRA AML audits.
What actually happens when the SRA selects your firm for an AML audit?
And, perhaps more importantly, how prepared would you be if that notification landed tomorrow?
On Tuesday 13 October, 12–1pm, Aj Nahal, former SRA AML Auditor and now Senior Risk & Compliance Officer at The Compliance Office, will be joined by our Managing Director, Jen Dunlop, to take you through the SRA AML audit process.
They’ll cover:
🔹 How to prepare for desktop and on-site audits
🔹 The key documents you may need to provide within the initial 14 days
🔹 What to expect from staff interviews
🔹 What the SRA auditor is looking for when reviewing files
🔹 Possible outcomes following an audit
And we’ll finish with a live Ask the Auditor Q&A, giving you the opportunity to put your own questions directly to Aj.
📅 Tuesday 13 October 2026
⏰ 12:00–1:00pm
💻 Online
Whether you’ve already experienced an SRA AML audit or simply want to know whether your firm would be ready for one, this promises to be a really practical session.