SRA Compliance ‘Health Checks’ for UK Law Firms

With years of expertise in SRA conduct, money laundering and accounts rules, as well as access to a suite of templates and training solutions, our SRA consultants can assess weaknesses and solve problems with speed and efficiency.

We offer (separately or alongside an AML audit) a comprehensive set of wider SRA compliance health-checks.

These checks include:

  • looking at your SRA compliance procedures,
  • an SRA law firm website price transparency audit,
  • review of the client care letter and terms of business,
  • review of training records, file reviews and speaking with staff to gauge compliance awareness in the business.

Inevitably we do find areas which need updating, and you can make use of our templates and e-learning to rectify any problems identified at no extra cost. Alternatively, we can arrange to conduct the additional remedial work for you.

What the Health Check report looks like

The document is organised as a table including

  • a list of requirements for all law firms
  • a colour-coded assessment of your current level of compliance and level of risk posed
  • further comments where necessary.
SRA Audit Health Check Checklist Extract for SRA UK Law Firms

SRA compliance and AML audit retainer services

We also offer a comprehensive programme of quarterly SRA Compliance and AML audits if that is of interest.

Audits are conducted quarterly on an annual basis, including client care and terms of business, SRA standards and procedures, website and transparency rules, and AML and sanctions.

Find Out More

Astraea

“We have been working with the Compliance Office for a number of years and would highly recommend their retainer support and audit services. We have found the level of expertise and the quality of support to be exceptional. A particular thanks to Jen, who provides expert, practical advice with professionalism and care. It’s reassuring to know that they are at the end of the phone if we have any complex compliance queries”

Indemnity Legal

“I would strongly recommend the team at The Compliance Office. They are great at providing timely, pragmatic, and practical advice, ensuring we stay up to date with the latest SRA guidance and never miss an SRA deadline. The whole team is very efficient and a pleasure to work with.“

APPEAL

“We are incredibly grateful for the invaluable support we’ve received from the Compliance Office over the years. Their regular, insightful updates have helped us stay well-informed and prepared for any upcoming changes…The team’s guidance has been instrumental in ensuring that we remain compliant and confident in our operations. A heartfelt thank you to the entire team — always so helpful, friendly, and quick to respond. Your support truly makes a difference!“

Crombie Wilkinson

“We have always found the Compliance Office Team friendly, approachable and responsive when dealing with issues and questions on a variety of regulatory topics. With ever increasing requirements for compliance, they are proactive in sharing developments and they take the time to talk the implications through in a way that is practical and relevant. “

Meysan

“The Compliance Office assisted Meysan in meeting its SRA regulatory obligations in the UK by offering practical guidance, carrying out internal reviews, and ensuring alignment with professional standards. They were responsive, reliable, and a pleasure to work with throughout the process.“

JSF Law

“We have used the Compliance Office for all our AML and Compliance needs and always found them to be helpful and highly responsive.  As a small firm doing often complex international work, we appreciate the reassurance and peace of mind of having a dedicated compliance specialist on call when needed.“

EJ Winter & Son LLP

“The support I have received from Jessica Irwin at Compliance Office has been consistently outstanding. Her depth of knowledge, responsiveness, and practical guidance have proven invaluable in navigating the complex and ever evolving landscape of regulatory and compliance matters. Jessica’s swift and considered advice provides crucial reassurance to those of us in positions of responsibility. Knowing I have her support allows me to focus on our work with confidence and peace of mind.“

Digiphile Law

“The Compliance Office has consistently delivered exceptional service. Their responsiveness, professionalism, and deep expertise have made them an invaluable partner. Every interaction is handled with clarity and care, and their advice is thoughtful and practical. Special thanks to Carolyn, who has been outstanding to work with – incredibly supportive, approachable, and consistently going the extra mile to help. I highly recommend the Compliance Office to any organisation seeking reliable, knowledgeable compliance support. “

Luscombe Gray

“Gareth at Compliance Office is invaluable to Luscombe Gray as a business. He combines deep regulatory expertise with practical, easy-to-implement solutions that work. Thanks to Gareth’s guidance, we have strong processes, reduced risk, and peace of mind. Gareth is professional and approachable, and I strongly recommend him.“

Robinson Ralph

“Andrew is superb. He is professional, likeable, knowledgeable and responsive to issues which arise out of the blue. He gives his full attention and is absolutely invested in his clients’ success. He installs confidence from the word go. He has our full trust and we consider him part of the team (whether he likes it or not)! Highly recommended.“

SRA Health Check frequently asked questions:

What documents will you review as part of the SRA health-check?

To complete your SRA health-check we will look at your office and staff manual, client care letter, terms of business and website.

We can also conduct a review of training records, undertake file reviews and speak with staff to gauge compliance awareness in the business if that is required.

We will produce a RAG-rated report covering each area of SRA compliance, and provide you with guidance and template wording to rectify any gaps or concerns found during the health-check.

Can you help put things right after the health-check?

Absolutely!

As part of the health-check we provide suggested wording for any recommended changes to policies and procedures.

We also provide you with template documentation for you to refer to if there are larger gaps that need to be addressed. If there’s a lot to be done and you would prefer that we just take over the follow up drafting and training then just let us know and we’d be delighted to help.

How do you access the law firm's files for the review?

For most law firms we find that we can conduct the health-check remotely and that this actually suits the firm the best. We will liaise with IT as needed to obtain access to a limited number of randomly selected files. We will often go through an example file with a paralegal or support staff member at the beginning of the health-check to ensure that we can find what we need. 

Still paper based? Don’t worry – we’re normally able to do it the more traditional way too! This would involve agreeing a date or dates for us to come onsite. We will typically borrow one of the law firm client’s meeting rooms and then complete the file review part of health-check there. 

What insurance do you have in place?

We have professional indemnity insurance in place for risk and compliance consultancy up to £2 million. We do not ordinarily offer legal advice but on occasion may be able expressly agree that one of our solicitors offers such advice for you and again we insured for such work up to £2 million. We are not an SRA regulated law firm however.

Further details about our solicitor services can be provided where needed.

What are your fees for performing an SRA health-check?

Prices vary depending upon the size of firm. Typically our fees range from £1,000.00 plus VAT to £2,500.00 plus VAT depending upon the size of the firm. For very large firms requiring a large number of file reviews however prices would likely exceed these brackets.

We always aim to offer a fixed fee before proceeding.

Get in touch

Call 01789 868444 or send us an email

 

Contact us

This field is for validation purposes and should be left unchanged.
Name(Required)