AML Mock Audits for Small Law Firms
Early Insight. Lasting Assurance.
For discerning London law firms, reputation and compliance are inseparable. A single weak point in your anti-money laundering (AML) framework can cast long shadows .
An AML mock audit offers the rare opportunity to review, refine, and strengthen your systems in a confidential, controlled setting — before you are formally reviewed. More than a simulation, it is a strategic investment in resilience, clarity, and peace of mind.
Why Choose Us
Why Choose Alexander Christian
Why Discerning Clients Choose Us
Boutique Expertise
We’re not a volume practice. We offer thoughtful, tailored support for discerning clients.
Discreet & Measured
Our work is quiet, considered, and focused on the journey as well as outcomes
Value Over Price
We serve clients who see our support as an investment in clarity, not a cost to minimise.
Benefits
What a Mock Audit Delivers
Unlike a Regulation 21 audit, which is mandatory and reported, a mock audit is voluntary and confidential — designed to work for you.
Key Benefits:
- Early Risk Detection – uncover gaps before they escalate.
- Sharper Internal Controls – test how your Policies, Controls and Procedures (PCPs) work in practice.
- Regulatory Readiness – reduce anxiety and disruption when the formal audit arrives.
- Team Confidence – reassure your staff, strengthening their awareness and application of AML duties.
- Reputation Protection – demonstrate to stakeholders that you don’t wait for problems; you anticipate them.
How it Works
Every audit is tailored, but the journey is typically:
Bespoke Reviews
What We Review
Mock audits are bespoke and scoped to your priorities.
But we can assess:
Whether your AML policies are proportionate and being followed in practice
The quality and consistency of client and matter risk assessments
Sanctions and adverse media screening procedures
Internal reporting pathways (e.g., suspicions, SARs)
Training records and staff AML awareness
Your documentation and record-keeping obligations
All findings are presented with practical, proportionate recommendations—aligned with your firm’s Firm-Wide Risk Assessment (FWRA) and existing workflows
Why AML Matters to You
Why AML Matters to You
For smaller London firms, AML compliance is not just regulatory. It is a matter of trust, reputation, and positioning.
- Demonstrate readiness before the SRA asks.
- Avoid disruption during client work.
- Strengthen your culture of compliance as part of your brand.
- Signal to discerning clients that your standards match their expectations.
Confidential. Constructive. Tailored to Your Firm.
Confidential. Constructive. Tailored to Your Firm.
At Alexander Christian, we understand that discretion matters. Our mock audits are:
- Confidential – nothing is shared beyond your team.
- Constructive – recommendations are supportive, not fault-finding.
- Flexible – full-framework or focused reviews, depending on your needs.
- Supportive – with ongoing guidance available for remediation.
Your Next Step
Book your Consultation
Commissioning a mock audit is a smart, risk-based investment in your firm’s compliance health.
Whether you’re preparing for a Regulation 21 audit, seeking internal assurance, or want peace of mind that your AML framework is fit for purpose - we’re here to help.
Book your confidential consultation today.
Quick Contact - AML
Quick Contact - AML
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