Compliance Review & COLP Support
An independent compliance snapshot that tells you where your firm stands, what the risks are, and what needs to change before they become a problem.
Compliance risk rarely announces itself. It develops in the gaps between busy fee earners, under-resourced management, and regulatory obligations that have grown faster than the firm's capacity to meet them. By the time a problem surfaces, the cost of fixing it is almost always higher than the cost of finding it early.
Our Compliance Review and COLP Support service gives law firms a clear, independent snapshot of their current compliance position. We review the areas of greatest regulatory risk, assess how effectively your COLP function is operating, and identify the gaps that need to be closed before they attract scrutiny from the SRA or create liability for the firm.
This is not an audit designed to produce a lengthy report that sits on a shelf. It is a focused, practical review that gives your COLP and leadership team a clear picture of where the firm stands and a prioritised set of actions to address what we find.
The result is a firm that knows its compliance position. Not a best guess, not the assumption that things are probably fine, but a clear-eyed assessment from advisers who understand both the regulatory framework and how law firms actually operate day to day.
Our Compliance Review and COLP Support service gives law firms a clear, independent snapshot of their current compliance position. We review the areas of greatest regulatory risk, assess how effectively your COLP function is operating, and identify the gaps that need to be closed before they attract scrutiny from the SRA or create liability for the firm.
This is not an audit designed to produce a lengthy report that sits on a shelf. It is a focused, practical review that gives your COLP and leadership team a clear picture of where the firm stands and a prioritised set of actions to address what we find.
The result is a firm that knows its compliance position. Not a best guess, not the assumption that things are probably fine, but a clear-eyed assessment from advisers who understand both the regulatory framework and how law firms actually operate day to day.
Speak to our team and find out where your firm's compliance risks actually sit
Know your compliance position before the SRA does
We give law firms an independent, expert review of their compliance framework – assessing regulatory risk, COLP effectiveness, and the operational areas most likely to attract scrutiny. Our reviews are focused, honest, and designed to produce actions your team can take immediately, not observations that require further investigation to be useful.
Through our Compliance Review and COLP Support service, you will receive a review that is:
- Independent so the assessment reflects your firm’s actual compliance position, not the version that has been managed upwards. We have no relationship with the SRA on your behalf and no interest in presenting the picture as better or worse than it is.
- Sector-specific and grounded in 15+ years of experience working with law firms across a range of practice areas, with a detailed understanding of where compliance failures most commonly occur and how regulators approach them.
- Focused so the review is structured around the areas of greatest risk for your firm’s size, structure, and practice mix – not a generic checklist applied regardless of context. Your COLP’s time is not wasted on low-risk areas when higher-risk ones need attention.
- Actionable so every finding comes with a clear recommendation and a realistic timeframe for resolution. You leave the review knowing exactly what to fix, in what order, and what the consequences of not fixing it are likely to be.
The outcome is a firm with a clear, current picture of its compliance position and a credible plan to address what needs addressing. Your COLP is better supported, your partners are better informed, and your firm is less exposed to the regulatory risk that every growing law firm carries.
"There is a particular kind of uncomfortable that comes from not knowing whether your house is in order. You suspect it probably is. You hope it is. But you do not actually know. That was us before the review. Afterwards we knew. Some of it was fine. Some of it needed work. All of it was clear. That clarity alone was worth the engagement.
Rachel Hennessy
Our Compliance Review Framework
We work with your COLP and senior leadership to conduct a structured review of your compliance position, focusing on the areas of highest risk and producing a clear, prioritised action plan.
Scoping & Document Review
We begin by understanding your firm's structure, practice areas, client base, and existing compliance arrangements and documentation. We review your policies, procedures, file management practices, and any previous regulatory correspondence to establish a baseline picture of where your compliance framework currently stands.
Risk Assessment & Findings
We assess the areas of greatest regulatory exposure for your firm, drawing on our knowledge of where the SRA currently focuses its attention and where compliance failures most commonly occur in firms of your type. Findings are ranked by severity and likelihood so your COLP and leadership team can direct resource to the issues that matter most.
Action Plan & COLP Debrief
We present the findings directly to your COLP and senior leadership in a structured debrief, with a clear, prioritised action plan. Each recommendation is practical and specific, with guidance on ownership, timeframe, and the regulatory risk of non-resolution. Where ongoing COLP support would be beneficial, we will gladly assist.
Find out where your firm's compliance risks actually sit
Book a call to discuss your firm's current compliance position and find out how a focused, independent review could reduce your regulatory exposure.
