Ensuring that a solicitors’ practice is fully compliant with its regulatory and risk management obligations is essential, but increasingly challenging. Regulatory requirements evolve constantly, and firms must not only comply with the Solicitors Regulation Authority Standards and Regulations, but also be able to demonstrate clearly how compliance is achieved and maintained in practice. Infolegal provides specialist compliance audit and advisory services designed to give firms confidence, clarity and independent assurance.
This service sits alongside and complements the ongoing support available through the Infolegal InfoHub. It is particularly valuable for firms that want an objective review of their systems and controls, reassurance ahead of regulatory engagement, or expert support in strengthening governance and risk management.
The SRA requires firms to have effective governance structures, arrangements, systems and controls in place, together with proper records to evidence compliance. This means firms must be able to monitor, analyse and manage regulatory risks on an ongoing basis, rather than reacting only when issues arise. In practice, many firms find it difficult to maintain oversight across all required areas, particularly where responsibilities are spread between partners, compliance officers and managers.
A compliance audit provides a structured way of assessing whether policies, procedures and processes are current, effective and operating as intended. It helps firms identify gaps, inconsistencies or weaknesses before they become regulatory issues, and provides a clear roadmap for improvement.
Infolegal’s compliance audits are designed to be practical, proportionate and tailored to the size, structure and risk profile of each firm. An audit typically involves a detailed review of the firm’s governance and compliance framework, including policies, procedures, records and working practices.
Audits can cover a wide range of regulatory areas, including compliance with the SRA Standards and Regulations, AML and financial crime controls, data protection and confidentiality, complaints handling, supervision and risk management, equality and diversity, financial management and transparency obligations. Where appropriate, audits may also include file or department-level reviews and an assessment of COLP and COFA arrangements.
The focus is not simply on identifying shortcomings, but on understanding how systems operate in practice and whether they are capable of withstanding regulatory scrutiny.
Many firms struggle to maintain compliance because of time pressures, competing priorities and the complexity of the regulatory landscape. Policies may exist but be outdated, risk assessments may not reflect current work profiles, or records may not provide a clear audit trail. Firms may also lack independent challenge, making it difficult to assess objectively whether their arrangements are robust.
Compliance officers, in particular, often carry significant personal responsibility and may welcome independent assurance that systems and controls are appropriate and effective. A compliance audit can provide that reassurance, while also supporting senior management in fulfilling their governance responsibilities.
Infolegal’s compliance audits are carried out by experienced compliance professionals with deep knowledge of legal regulation and law-firm operations. Where appropriate, Infolegal works alongside specialists from Enderley Consulting to provide additional depth and perspective.
Following an audit, firms receive clear, practical feedback and prioritised recommendations, focused on achievable improvements rather than theoretical best practice. Infolegal can also assist with implementing changes, updating policies and procedures, and embedding improved systems within the firm’s day-to-day operations.
Audits can be provided as a one-off review, for example ahead of an SRA inspection or lender panel review, or as part of an ongoing programme of compliance monitoring and support.
A key advantage of using Infolegal’s compliance audit services is their seamless integration with the Infolegal InfoHub, and in particular the online Firmwide Compliance Checker. This unique tool allows firms to translate audit findings into a structured, living compliance framework that can be monitored, updated and evidenced over time, rather than remaining as a static report.
The online Compliance Checker provides a comprehensive, firm-wide assessment across 15 core regulatory and risk areas, covering over 110 individual compliance requirements. These range from governance, strategic documents and COLP/COFA responsibilities, through to equality and diversity, supervision and risk management, client care, data protection, AML and financial crime, transparency rules, and residual Lexcel and CQS requirements. Each requirement is clearly explained, with guidance on whether it arises from SRA obligations, accreditation standards or best practice, and links directly to supporting materials within the InfoHub.
Following a compliance audit, Infolegal can align its findings directly with the Compliance Checker, helping firms to record where requirements are fully met, where they are “working towards” compliance, and where gaps remain. The system’s traffic-light scoring provides an immediate visual overview of the firm’s compliance position, both overall and by regulatory category, enabling COLPs, COFAs and senior management to prioritise action and focus resources where they are most needed.
Crucially, the Compliance Checker creates and maintains a clear audit trail. Firms can demonstrate not only what steps have been taken to achieve compliance, but also when those steps were taken and how progress has been reviewed over time. This information can be securely shared, on a view-only basis if required, with third parties such as insurers, Lexcel assessors, lender panel auditors or the SRA itself. When combined with Infolegal’s independent compliance audits, the Compliance Checker allows firms to move beyond one-off reviews and towards ongoing, demonstrable compliance management, giving regulators and stakeholders confidence that systems and controls are embedded, monitored and kept under regular review.
By using Infolegal’s compliance audit services, firms gain independent assurance that their regulatory arrangements are fit for purpose and aligned with current requirements. Audits help reduce regulatory risk, support COLPs and COFAs, and provide senior management with greater visibility and control over compliance issues.
Most importantly, compliance audits help firms move from reactive problem-solving to proactive, structured compliance management, ensuring that regulatory obligations are met efficiently, consistently and with confidence.
Please feel free get in touch with us. We will always do our best to get back to you as soon as possible and always within 1-2 business days.
