Compliance processes cover the systems and ongoing steps a business takes to meet legal and regulatory requirements. A solicitor in this area helps design, implement and monitor policies, procedures and controls to prevent breaches, while ensuring risk assessments, due diligence and training are fit for purpose across the organisation. They draft and review internal policies, oversee regulatory reporting, and advise on investigations into potential non‑compliance, including how to engage with supervisory bodies and regulators. They also coordinate remediation where processes fall short and help prepare for audits and enforcement actions.
What a solicitor handles in these matters
The solicitor maps regulatory obligations into practical procedures, drafts governance documents, coordinates monitoring and reporting cycles, conducts internal investigations into potential breaches, and liaises with regulators such as the Financial Conduct Authority and Information Commissioner's Office. They typically handle risk assessments, controls testing, policy updates, training programmes, record-keeping, and remediation plans, ensuring appropriate accountability and escalation paths are in place within the business.
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