Compliance Support Retainer Service

We provide a bespoke, flexible, professional and cost-effective compliance support for your SRA or CLC regulated legal practice. This service effectively allows you access to a highly experienced compliance manager on an outsourced basis for a fraction of the cost of employing one directly and without the difficulties of sourcing and recruiting a suitably qualified person. This is a service that is designed to give dedicated and personal support for your practice. Our aim is not to try and acquire multiple clients under our retainer service that will, in our viewilute the quality of service and support that you will receive from us. We want to become an integral and credible part of your team and invest time in you.

We will help you monitor for potential risks or difficulties facing your practice throughout the year and assist you with dealing effectively with those issues should they arise. We will also monitor and keep on top of any regulatory changes and update your compliance systems accordingly. You can have absolute confidence that you have the required systems, procedures and policies in place to meet all of your regulatory obligations.

The service is fully flexible and is at a fixed cost, payable on a monthly basis allowing you to budget confidently for your compliance support and advice. We can also include support with Lexcel and CQS applications and re-accreditations.

The service includes ongoing support with:

  • All anti-financial crime processes and procedures, together with a helpline for you to raise issues or causes for concern
  • Preparation and maintenance of all compliance related documentation relevant to your firm – including the preparation of an office procedures manual to comply with all relevant regulatory requirements
  • Ongoing guidance and support for your Compliance Officers
  • Preparation and maintenance of client engagement documentation
  • Assistance with your response to any possible data breach incidents
  • Assistance with your response to complex client complaints including help with the preparation of responses to the Legal Ombudsman
  • Email and telephone support for any compliance related questions
  • Support with any SRA requests for information, explanation of conduct or other investigations and assistance with the choice of specialist regulatory lawyers in the event of any disciplinary action
  • Support with securing professional indemnity insurance
  • Compliance training

We can also introduce you to specialist service providers for:

  • HR and Employment support
  • IT infrastructures and security

Remember, we can also include assistance with your Lexcel accreditation, CQS accreditation and your file review programme as part of the retainer service.