SRA AML Audit Checklist
Navigate your next SRA AML Audit with total confidence using our rigorous, regulator-aligned compliance framework.
SRA-Aligned Compliance Framework
Is your firm SRA-compliant? Don't wait for an AML audit to find out. Our expert-led AML checklist covers every SRA requirement, from CDD to client matter risk assessments. Minimise your risk of fines and regulatory action.
SRA AML Audit: Stop guessing. Start preparing.
Book a Free 20-Minute AML Consultation with an auditor. We’ll run your firm through the Lexsure Dynamic AML Audit Checklist to identify your exposure and give you an immediate action plan.
- Expert Insight: Real SRA AML audit experience.
- Zero Cost: High-impact, no-obligation AML Audit gap analysis.
- Immediate Results: Recommendations delivered during the call.
Only 4 slots available this week. Due to high demand this service is only available to High Street Firms and Sole Practitioners.
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SRA AML Audit Checklist: Frequently Asked Questions
Discover answers to your AML compliance questions with our expert consulting services.
- How can my three partner conveyancing focused firm accurately determine if their existing internal SRA AML Audit Checklist meets the updated 2026 LSAG requirements?
- What are the specific legal consequences for a COLP or MLRO if an SRA AML Audit reveals that their SRA AML Audit Checklist was outdated or incomplete?
- In what way does the Lexsure dynamic SRA AML Audit Checklist differentiate between high-risk conveyancing matters and lower-risk legal practice areas?
- Should a boutique CQS accredited law firm prioritise a manual review or a digital SRA AML Audit Checklist when preparing for an unannounced thematic review?
- How does an independent AML auditor use an SRA AML Audit Checklist to identify hidden gaps in a firm’s Client Matter Risk Assessment (CMRA) and CDD workflows?
- My firm has been selected for an AML related thematic review by the SRA. Do you only cover standard AML Audits or do you have thematic review checklists. If not, can I at least book a consultation regardless?
- Can utilising your fee service as essentially akin to an SRA AML Audit Checklist be used as a mitigating factor if the SRA initiates a referral to an AML Assessment Officer for further investigation?
- What are the primary indicators within a SRA AML Audit Checklist that suggest a firm’s Firm-Wide Risk Assessment (FWRA) is no longer fit for purpose?
- How does the 20-minute expert consultation utilise the Lexsure SRA AML Audit Checklist to provide immediate, actionable feedback for busy legal MLRO?
- What specific evidence must be attached to an SRA AML Audit Checklist to satisfy an auditor that "ongoing monitoring" is actually being performed on long-term client files?
- Would a SRA AML Audit checklist change depending on whether the SRA were conducting a desk based assessment or a physical inspection at my offices?
- In what specific ways must an AML Policy be updated within the SRA AML Audit Checklist to account for the latest 2026 changes in proliferation financing and sanctions PCPs?
- Do the SRA themselves publish their own AML Audit Checklist? SRA webinars are helpful but I can't see an audit checklist on their website.
- Why would you not simply provide a free ‘one size fits all’ SRA focused AML Audit Checklist rather than require a consultation.
- Do you provide a physical SRA AML Audit Checklist after the initial AML audit consultation?
- If your consultation and associated AML Audit Checklist identifies exposures in key documents such as a FWRA or AML Policy can you help me draft the relevant documents?
- How does the Lexsure SRA AML Audit Checklist bridge the gap between a high-level AML Policy and the granular, day-to-day procedures required for matter-level compliance?
- How relevant is any SRA AML Audit Checklist given that the FCA will soon take over AML oversight for law firms?
- Does the SRA AML audit checklist iclude a free review of our firm’s AML Policies, CMRA and FWRA?
Why AMLChecklist.com does not provide a downloadable SRA AML Audit Checklist
The reason we do not offer a static SRA AML Audit Checklist on this website is rooted in our deep commitment to understanding the unique nuances of your specific legal practice. We believe that true regulatory safety cannot be found in a downloadable template. To provide you with a meaningful SRA AML Audit Checklist we need to listen to your challenges and learn about your client base through a genuine conversation.
Generic checklists often act as a regulatory red flag because the SRA has issued clear warnings against using copy and paste AML policies and procedures (PCPs). The AML Audit Checklist to be used must be a reflection of your specific work types and risk profile which is why context is everything. A standard answer for a local conveyancing matter will rarely satisfy the requirements for a high net worth international transaction and only a tailored discussion allows us to address these differences.
AML compliance is a living process rather than a one time task. A static SRA AML Audit Checklist quickly becomes obsolete as LSAG guidance and SRA priorities evolve. By engaging in a consultation we can ensure your SRA AML Audit Checklist is powered by the dynamic updates provided by Lexsure experts. Our goal is to move beyond a simple list of rights and wrongs to provide the oversight and framework necessary for a defensible audit culture. While we respect that some MLROs may prefer an off the shelf downloadable SRA AML Audit Checklist, we feel that our bespoke conversational approach is the only way to truly protect your firm.
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