Strengthen compliance. Gain confidence.
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🚨 The Challenge:
Facing Non-Negotiable Compliance
Firms struggle with three compounding problems:
1. Statutory Non-Compliance Risk
Failing to undertake a independent regulation 21 audit if applicable can expose the firm to regulatory action
2. Procrastination driven by fear
Firms may never have obtained an audit or have been inconsistent in obtaining on, fearing hidden flaws, and potential liability
3. Imperfection
Firms are committed to best practice, but are often siloed, and are worried that their framework is not perfect.
The next step is securing the objective clarity that moves your firm from regulatory stress to verifiable assurance.
Call Us: 020 4578 4684
The Solution:
Mock Audit
- Confidential, preparatory review
- Identifies risks early
- Builds team confidence
- Practical recommendations without regulatory pressure
Regulation 21 Audit
- Mandatory, independent audit under AML regulations
- Reviews policies, procedures, and controls
- Test compliance across your firm
- Report of findings and recommendations
Call Us: 020 4578 4684
🛡️ Our 6-Step Plan:
We make the process straightforward:
Discovery and Scoping - understanding your firm’s size, risk profile, and AML framework.
Review - examine policies, procedures, and sample files.
Interviews and Testing - assess how AML processes work in practice.
Audit Report - clear findings, practical recommendations.
Follow‑Up - Optional support to implement improvements.
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What’s at Stake
For senior partners and compliance officers in London, the pressure of AML compliance is relentless.
Rules evolve, resources are stretched, and the personal and corporate liability for systemic failure is severe.
The greatest risk is the one you cannot see.
Without an independent assessment, you operate with hidden vulnerabilities that could lead to:
Regulatory Exposure: Unaddressed weaknesses in your framework are liabilities waiting to be exposed by a formal inspection.
Reputational Erosion: A single fine or adverse finding immediately compromises your integrity and client trust.
Uncertainty and Stress: Knowing your firm is exposed creates internal stress and distracts from core business.
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Your Path to Continuous Assurance
You've identified the challenges: the risk of non-compliance, the fear that leads to procrastination, and the anxiety of imperfection.
Our audit service is designed to move you past those fears.
We believe in continuous improvement, not judgment.
We cannot provide you with any guarantees on outcome because your firm is always responsible for its own AML Framework. However, consider the essential relief and control you gain by choosing proactivity:
Moving Toward Success
Think about how it would feel to you, personally, to achieve these structural improvements:
Conquering Fear: Moving away from the fear-driven procrastination because of your proactivity and a clear, expert-led plan.
Gaining Control: Moving toward a more compliant and defensible AML Framework, giving you quiet certainty instead of anxiety.
Protecting Integrity: Actively protecting yourself, your staff, and your clients, and meaningfully contributing to the wider fight against financial crime.
We are here to help guide you along your AML Journey so that you can make continuous improvements.
Take the next step and book your confidential audit scoping session.
Call Us: 020 4578 4684
What You Gain
What you gain is progress.
The process begins with a confidential discussion to define the scope of the assessment and align our mandate with your firm’s unique regulatory profile.
Call Us: 020 4578 4684
This confidential 6-Point Gap-Finder instantly pinpoints the critical Client/Matter Risk Assessment failures potentially in your firm's AML framework.
Download this essential resource now.
6-Point CMRA Gap-Finder
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We serve you
Our AML Regulation 21 audit and compliance services are available across London and Greater London, supporting firms of all sizes with compliance.
Fees
We usually offer bespoke fixed fees for AML Services.
