Bespoke Compliance Consultancy for Law Firms

Clear, practical compliance systems are essential for a well-run law firm. Without them, meeting regulatory requirements becomes time-consuming, inconsistent and high risk.

At Beal Cooper Compliance Ltd, we design, review and implement policies, procedures and compliance systems that work in practice, are efficient, and are used on a daily basis.

Whether you’re looking at new requirements or reviewing existing processes, we work with you to create a compliance framework that is:

Aligned with SRA and regulatory requirements
Tailored to your firm’s size, structure and risk profile
Practical and easy for your team to follow

Our focus is simple: make compliance clear, effective and manageable.

Achieve and maintain compliance

We have supported firms at every stage with their compliance needs, from initial set up for new firms through to gap analysis assessments and introducing improvements for established firms.

Achieve compliance

Gap analysis and compliance reviews
Identify what is working well or areas for improvement.
Drafting or redesigning policies and procedures
Including AML, sanctions, anti-bribery, conflicts of interest, information management, and wider regulatory frameworks.
Firm-wide risk assessments (FWRA)
Practical, compliant and bespoke to you. The SRA are concerned about standard templates for a reason.
Client and matter risk assessment processes
Clear, consistent and easy to use. We also work with Forsyte to provide bespoke, electronic risk assessments linked directly with your case management system.
Staff training and guidance
Helping your team understand and apply the requirements once the new processes are in place.
Post-SRA audit help and support
For firms that need speedy, expert help following an SRA audit. We have experience of stepping in to support firms at this stage, to help with compliance plans and preparation of documents needed to bring firms up to the expected standard.

Maintain compliance

Periodic compliance audits and reviews
Keeping your systems up to date and effective. Alternatively, we can provide regular, outsourced file reviews.
Ongoing policy and procedure updates
Reflecting regulatory change and firm developments
Staff updates and refresher training
Keeping knowledge current and consistent across the firm

Key areas of consultancy support

We provide consultancy across all core compliance areas:

Anti-Money Laundering and Economic Crime

Client due diligence (CDD) processes
Firm-Wide Risk Assessments (FWRA)
Client and matter risk assessments
Mandatory policies (AML, sanctions, anti-bribery)
AML training and ongoing support

Data Protection and GDPR for law firms

Privacy notices and data protection policies
Information security policies
Data breach response planning and support
Data protection complaints
Staff training

SRA Standards and Regulations (STaRs)

Policies and procedures aligned to STaRs
Client care letters and Terms of Business
Complaints handling processes and outsourced complaints handling
Learning and development plans
Registers and compliance record keeping

We work in a way that suits your firm and offer fixed-fee projects for specific pieces of work, or retained support for ongoing compliance needs.

Please contact us to find out more.