Operational & AML Control Reset for a Growing Law Firm
Sector: Legal Services
Role: Strategic Advisor & Operational Consultant
Service Areas: AML & Regulatory Controls · Operational Oversight · Workflow Design · Leadership Support · Systems & MI
The Challenge
A growing law firm was operating in a way that relied heavily on individual judgement rather than consistent controls. While fee earners were experienced and well intentioned, key compliance processes, particularly around AML and client onboarding, were inconsistently applied across the business.
Client due diligence, source of funds checks, and ongoing monitoring were handled differently by different teams. Records were fragmented across systems and files, making it difficult for partners to gain confidence in oversight, audit readiness, or regulatory defensibility.
Alongside this, partners were increasingly pulled into operational and compliance queries that should not have required senior input. There was concern that further growth would amplify risk rather than strengthen control, particularly in the event of regulatory scrutiny or an AML review.
What was needed was clearer structure around AML and compliance processes, better visibility for leadership, and a way to embed proportionate controls without slowing delivery or overburdening fee earners.
Our Approach
Bonner-Murray Consulting was engaged to help the firm strengthen AML and compliance controls, improve operational oversight, and give partners confidence that regulatory obligations were being met consistently across the business.
The engagement began with a practical review of how AML and onboarding processes were being applied in reality.
This included:
Reviewing client onboarding workflows and CDD practices across teams
Assessing how source of funds and ongoing monitoring were being documented
Identifying inconsistency in application, escalation, and record keeping
Understanding where compliance judgement was sitting with individuals rather than systems
Assessing leadership visibility over AML activity and risk exposure
This phase highlighted where the firm was exposed due to variability rather than intent..
With risk areas identified, focus shifted to strengthening controls without introducing unnecessary bureaucracy.
This involved:
Designing clearer AML workflows aligned to risk and matter type
Defining escalation points and decision rights for higher-risk cases
Improving consistency in documentation and record keeping
Aligning AML processes with existing case management systems
Clarifying roles and responsibilities between fee earners, compliance, and partners
The emphasis was on proportionality, defensibility, and ease of use.
To ensure changes were sustainable, attention turned to embedding oversight and confidence.
This included:
Introducing simple MI to give partners visibility over AML activity and risk trends
Establishing light review rhythms to maintain standards without micromanagement
Supporting partners in stepping out of day-to-day compliance queries
Acting as an external sounding board as expectations and behaviours were reset
The result was stronger control without slowing the business down.
The Outcome
The firm moved into a far more confident and defensible compliance position.
The outcome included:
Clearer, more consistent AML and onboarding processes
Improved documentation and audit readiness
Reduced reliance on partners for routine compliance decisions
Better visibility over risk and AML activity
Increased confidence that growth would not undermine regulatory control
“You helped us gain confidence that our AML processes were being applied consistently and proportionately across the firm. It’s given partners far better visibility and reduced the compliance firefighting.”
Partner (anonymous)
