About Regulation & Compliance Office
Specialist Regulatory Compliance & Risk Management Consultants
Regulation & Compliance Office (RACO) is a specialist compliance consultancy supporting law firms and regulated businesses across the UK.
We provide structured compliance management, risk oversight and regulatory consultancy aligned to the SRA, CLC, Law Society of Scotland, HMRC (AML), FCA and ICAEW frameworks.
Our role is simple: to implement and maintain proportionate, defensible compliance systems that protect your organisation and demonstrate control.
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Who we are
We understand the operational realities of running a regulated law firm while maintaining regulatory control.
Our services are designed to ensure:
- The COLP/COFA/MLRO/MLCO are supported in their day to day duties
- Clear and current Policies, Controls and Procedures
- Effective AML and CTF frameworks
- Pragmatic and proportionate solutions are provided
- Structured risk management processes
- Documented complaints handling and reporting
- Ongoing monitoring and management of the risk and compliance strategy
- Our service is bespoke to your firm
- All staff are trained and have access to expertise when needed
- File reviews and reporting outcomes are performed regularly to guide the firm on any issues
We provide both framework implementation and ongoing operational support, depending on the size and complexity of your firm. We can work as an outsource partner or in conjunction with an internal compliance team or person.
- Proportionate implementation
- Practical, operational solutions
- Ongoing oversight and monitoring
- Evidence-based compliance frameworks
- Proportionate implementation
Talk to our compliance specialists today
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What we do
Compliance Framework Development
Design, review and maintenance of Policies, Controls and Procedures aligned to your regulator.
Risk & AML Management
Firm-wide risk assessments, AML/CTF frameworks, financial crime controls and supervisory readiness.
Ongoing Compliance Management
Outsourced compliance administration, register management, monitoring and reporting.
Regulatory Investigations & Reporting
Guidance on reportable issues, breach assessment and regulatory engagement.
Complaints & Governance Oversight
Structured complaints handling frameworks and governance controls.
Wider Regulatory Compliance
Support across GDPR and data protection, Bribery Act compliance, Treating Customers Fairly and employment regulations.
Our services are scalable. Some clients require structured annual frameworks. Others require full operational outsourcing. We tailor support to your size, risk exposure and regulatory complexity.
Partner With a Specialist Compliance Consultancy
If you require structured compliance support, independent oversight or full operational management of your regulatory framework, our team can advise on the most appropriate solution.
Who we work with
While our core specialism is law firm compliance, we support organisations across multiple regulated sectors.
We understand that regulatory exposure varies significantly between organisations. Our role is to implement systems that are proportionate and appropriate to your risk profile.
Why Businesses choose RACO
Deep Legal Sector Expertise
Over 90% of our work is within the legal sector. We understand the regulatory and operational realities of regulated legal practice.
Human-Led Compliance Support
Our clients work directly with experienced compliance professionals. We do not rely on automated platforms or generic template solutions.
Ongoing Operational Management
We provide day-to-day compliance oversight where required, including register management and reporting.
Practical, Proportionate Implementation
We design systems that work within your organisation. We do not introduce unnecessary complexity.
Defensible, Documented Frameworks
Our focus is ensuring that compliance is demonstrable, structured and capable of withstanding regulatory scrutiny.
Contact Our Team
If you require structured regulatory compliance support, ongoing risk management or independent oversight, our team can advise on the appropriate framework for your organisation.
Call Us
0203 985 8550
Email Us
info@regulationandcomplianceoffice.co.uk
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