Focused review
- Review a policy or process
- Prioritised action list
- Clear next steps
Compliance support in Limavady and across Northern Ireland
Compliance advice for small regulated firms
For estate agents, property professionals, financial advisers, mortgage and insurance intermediaries, care providers and education businesses. Get AML, UK GDPR and governance procedures into working order.
Your regulator expects records, procedures and training evidence. If the file is thin, start with a clear review.
Get the file in order.
Practical support, scoped to your firm
Choose the help you need
Start with the gap you need to close. We’ll agree the work and its scope before it begins.
Framework build
- Written procedures
- Roles and control records
- Inspection file structure
Ongoing oversight
- Scheduled monitoring
- Sample testing and findings
- Management summaries
Choose the support you need.
4
working compliance pillars
AML, data protection, governance and monitoring. Four areas. One clear file.
AML controls
Set out risk assessments, customer due diligence, record keeping and reporting routes.
Start with the riskUK GDPR records
Document processing, retention periods and a workable route for individual rights requests.
Review data handlingGovernance
Make ownership, delegated duties and internal controls clear, even in a small team.
Clarify responsibilitiesMonitoring
Set review dates, sample checks and short management updates that show what changed.
Plan a review cycle
A practical approach for local firms
Compliance that fits a small team
Eglinton Barrister helps owner-managed and regulated businesses put clear procedures into daily use. A five-person firm needs controls people can follow while serving clients, not a shelf of generic templates. We review what you already do, identify the gaps and document responsibilities in plain English. Records are shaped around your services, regulator and team size. You’ll know what to keep, who owns each task and when to check it again. Keep it usable.
Before the inspection
“The review showed us what was missing before the supervisor arrived. We had a clear list and the evidence in one place.”
Clear and confidential
- Work scoped to your firm and regulator.
- Confidential handling of business information.
- Independent advice; no regulator affiliation is claimed.
No borrowed badges.
Common questions
Timing depends on the records and the scope. We’ll agree the first review steps with you.
Yes. We can review what you use now and revise the parts that no longer fit your work.
We set a quarterly or half-yearly cycle, agree sample checks and record findings for management review.
Start with the gap.
Take the next step
Request a compliance review
Tell us what’s missing or what your supervisor has asked to see. We’ll use that to start a focused conversation.
Tell us where it pinches.
Talk it through
Speak with a local adviser.
Baranailt RoadLimavady, Causeway Coast and Glens
United Kingdom
Compliance advice is based on the information provided and is not a substitute for your regulator’s rules or specialist legal advice.