Regulatory Compliance & Risk Management

  • Are you finding the burden of regulatory compliance is preventing you from getting on with your business of practicing law?
  • Do you spend countless hours ticking boxes and jumping through hoops in order to be able to demonstrate the compliant nature of your business.
  • Would you love to employ a full-time regulatory compliance expert to take care of this burden but do their salary demands make you immediately recoil from the idea?

Complex Risk can provide you peace of mind through our comprehensive advice, guidance and support service. We can design and implement systems and procedures to ensure that every aspect of your business can demonstrate compliance with the SRA Code of Conduct 2011.  We ensure that any subsequent changes to legislation or the Code of Conduct that affect your business are also appropriately updated saving you time and we can provide relevant staff training.  We can provide assistance in any specific area requiring immediate remedial action.

SRA visits to firms are on the increase and we can provide unparalleled experience and breadth of knowledge concerning representation should your practice ever fall under the eye of investigatory bodies such as the SRA, Legal Ombudsman, SDT, FCA. You will be reassured to know that your firm will excel at all compliance checks due to our diligent preparation and administration work on your behalf, you should confidently achieve and retain your LEXCEL accreditation.

Your firm will operate in a more efficient manner with the support of our advisory service, you will benefit from a greater through the line organisational understanding of your regulatory compliance obligations and you will gain knowledge of how to deal with challenging scenarios.

Great quality Regulatory Compliance advice should help to streamline your business and reassure you that it is compliant and efficient which will give it the competitive advantage it needs and demands.  This will ultimately afford you the time to get back to practicing law, running your law business and becoming more profitable.

Being aware of and managing your regulatory compliance responsibilities, risk management obligations and the implementation of good practice are all necessary to facilitate a profitable legal business.  Complex Risk can provide peace of mind from regulatory interference in your business and enable you to achieve your goal.

Whether you’re a new start up, have an established business or you’ve been round the block a few times and need a jump start, we have the expertise to create a win-win relationship with you for a fraction of that compliance officers salary.

See Also

Human Resources

A full spectrum of bespoke outsourced Human Resources services designed specifically for Law firms.


High quality training in legal and professional skills including Fraud and Anti Money Laundering.

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