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Professional Services Compliance

Most professional services firms carry
more compliance risk than their owners realise

GDPR, employment law changes, IR35, ICO registration, professional indemnity obligations, anti-money laundering requirements for regulated firms, the compliance burden on professional services businesses has grown significantly and is still growing. The Employment Rights Bill will introduce the biggest changes to employment law in a generation.

We help solicitors, accountants, consultancies, HR firms and other professional services businesses across Surrey identify where they are exposed, and put practical, proportionate solutions in place. Fixed-fee. Plain English. No jargon.

A professional, modern office setting with diverse team members collaborating on documents

The compliance areas most commonly overlooked by professional services firms

In every compliance review of a professional services firm, we find the same gaps.

Not because the business is careless, but because these are the areas that fall between legal advice and day-to-day operations, and nobody owns them.

Our Services And What We Cover

UK GDPR and ICO obligations

ICO registration renewal is commonly missed or allowed to lapse.

The Record of Processing Activities (ROPA) is the most frequently absent document.

Privacy notices are often out of date or non-compliant with UK GDPR Article 13/14 requirements.

Anti-money laundering

Required for accountants, solicitors, estate agents and tax advisers.

Firm-wide risk assessment, MLRO designation, CDD procedures and staff training records must all be in place and current.

Employment law compliance

Contracts of employment must reflect current statutory rights. The Employment Rights Bill is introducing day-one unfair dismissal rights, strengthened flexible working obligations and fire-and-rehire restrictions. Handbooks written in 2022 may already be out of date.

Professional indemnity and insurance

PII must meet minimum levels required by any applicable regulator or professional body.

Employers’ Liability is legally required where employees are engaged.

Both must be current and on file.

IR35 and contractor compliance

Status Determination Statements are required for each contractor engagement for medium and large businesses.

Where contractors work exclusively for the firm and follow direction and control, IR35 risk is significant

Data protection agreements

Data Processing Agreements are required with all third-party processors, cloud software, payroll, marketing platforms, IT support.

These are routinely absent even in otherwise well-run firms.

Fixed-fee Compliance Health Check Audit services

Our Compliance Health Checks give you a structured, independent review of your firm’s compliance position across UK GDPR, employment law, professional obligations and any sector-specific requirements.

  • Professional Compliance Snapshot

    247£
    Online self-assessment & 30-minute debrief
     
    • Professional services-specific online assessment
    • RAG-rated results summary
    • 30-minute debrief call
    • Written action summary
  • Most Popular

    Professional Compliance Health Check

    495£
    Full compliance audit across your key obligations
     
    • Pre-audit document review
    • 60–90 minute structured audit session
    • Full written RAG-rated compliance report
    • Prioritised action plan with regulation references
    • 45-minute debrief call

  • Professional Deep Dive Audit

    895£
    Comprehensive review including GDPR, employment, AML and professional obligations
     
    • All Health Check deliverables
    • Full policy and document gap analysis including DPAs and AML
    • Employment contracts and handbook review
    • 90-minute debrief
    • 3-month compliance check-in included

Professional Compliance Snapshot

  1. Do you have a reliable, consistent system for managing your diary, inbox, and client communications — or does it feel reactive and difficult to stay on top of?

Single choice
Yes
No
Not sure

  1. How confident are you that your client-facing documents — reports, proposals, presentations, bundles — consistently reflect the quality standard your clients expect?

Single choice
Yes
No
Not sure

  1. Do you currently have a process for onboarding new clients that is documented, repeatable, and doesn't require you to do everything yourself?

Single choice
Yes
No
Not sure

  1. Are your Companies House filings, professional indemnity renewal, and any regulatory membership renewals tracked and managed proactively?

Single choice
Yes
No
Not sure

  1. Do you regularly find yourself completing admin tasks in the evenings or at weekends because they didn't get done during the working day?

Single choice
Yes
No
Not sure

Ongoing Compliance Partnership retainers

Need ongoing compliance support alongside operational admin? Our Compliance Partnership retainers combine regulatory monitoring with the executive support your firm relies on.

Starter

£375

Best for: 

Sole practitioners and small consultancies

​

​Starter includes:

  • ICO registration renewal tracking.

  • GDPR documentation monitoring.

  • Diary management and meeting scheduling.

  • Document formatting and proofreading.

  • Email management and inbox organisation.

  • Companies House filing reminders.

  • Up to 10 hours per month

Growth

£695

Best for:

Firms with 2–5 professionals

​

​Growth includes:

  • Everything in Starter, plus:

  • ROPA and privacy notice review monitoring.

  • Employment contract currency checks against legislative changes.

  • DPA monitoring for third-party processors.

  • IR35 status record keeping.

  • Legal bundle and report formatting.

  • Client onboarding documentation.

  • Up to 20 hours per month.

Premium

£1,350

Best for:

Busy firms needing a dedicated compliance and operations partner

​

​Premium includes:

  • Everything in Growth, plus:

  • Full GDPR compliance calendar with legislative update alerts.

  • Employment law update monitoring (Employment Rights Bill tracker).

  • AML training records and renewal management (regulated businesses).

  • Monthly compliance status report.

  • Complex diary and inbox gatekeeping.

  • Up to 40 hours per month.

Find your compliance gaps before a client, regulator or insurer does

Book a free 20-minute scoping call. We will review your compliance obligations and confirm the right service for your firm. No obligation.

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