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Have you found the compliance risks hiding in your workflow?

June 4, 2025 Checkboard Team

Firms often focus on AML as the headline risk, but compliance gaps aren’t just created by criminals and bad actors trying to sneak in under the radar. In fact, many of the deepest cracks in your defences are caused by your own inconsistent workflows and incomplete documentation.

That’s why organisations must embed compliance across their business to close those gaps and avoid visits from the regulators.

There’s more to compliance than AML

AML checks dominate compliance conversations, and rightly so. We’ve all seen the headlines about firms whose sloppy processes have exposed them to serious criminal risk – and the subsequent regulatory fallout.

That’s why scrutiny – both within organisations and from the regulators – is intense, and the consequences of mistakes are often severe.

But too often firms treat AML as a standalone task, another item on the to-do list. In doing so, they overlook the wider risks embedded throughout the client lifecycle.

In fact, it’s in your onboarding, documentation, and internal consistency where those cracks can quietly form. And it’s those gaps for which the auditors are looking.

Where can you find compliance gaps?

Poor compliance isn’t always about negligence. Sometimes it’s the inevitable consequence of scattered systems and unclear workflows.

Many firms use multiple platforms for ID checks, source of funds, and document storage. Staff might use different procedures depending on the client, or duplicate tasks because systems don’t talk to each other.

The risks in that kind of setup include:

  • Missing or duplicated client data

  • Inconsistent source of funds checks

  • Over-reliance on admin with no oversight

  • Compliance records stored across inboxes, CRMs, PDFs, and shared drives

All this makes teams slower and less efficient, and more in danger of making mistakes due to missing or incorrectly updated data. This is where some of those compliance gaps form, in misinterpreted data or missed red flags.

What do the regulators want to see?

Whether you’re dealing with the SRA, CLC, or HMRC, regulators expect to see a robust, interconnected compliance system, not a scramble. They want to see:

  • Clear documentation of every client check

  • Consistency across matters

  • Secure storage and access to audit trails

  • Evidence that risks are flagged and followed up

A firm that can’t quickly demonstrate these things may face consequences even if they’ve technically done the work. Auditors don’t want to see minimum effort, they want to see best practice embedded across the client lifecycle.

How do you embed compliance?

It all begins with the right partner, and that’s where Checkboard stands out. Instead of just adding more items to the checklist, Checkboard consolidates and automates all the key compliance tasks, allowing you to embed them in your workflows from the very beginning of the client lifecycle.

That includes:

  • Biometric ID verification with liveness detection

  • Real-time screening against PEPs, sanctions, and adverse media

  • Open banking source of funds checks

  • Instant audit packs ready for review

Checkboard gives teams a holistic view of every client, allowing them to gather all the necessary data and verifications, and continuing monitoring them for red flags across their lifecycle. And with all this information logged in one place, firms don’t just meet their obligations, they prove it.

Creating a culture of compliance

Ultimately, great compliance isn’t just another step on the to-do list. It should be a mindset embedded in how your firm operates.

With the right system and the right technology partner, the whole team – from junior admin to managing partner – can contribute confidently to a culture of doing things properly.

Then, when the auditors come knocking, you’ll pass the test with flying colours.

A version of this article was originally published on Today’s Conveyancer. This version has been expanded and adapted for the Checkboard audience.

  • AML
  • ID verification
  • KYC

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Checkboard Limited is authorised and regulated by the Financial Conduct Authority (FCA) under firm reference number 950508. If you have a complaint that we cannot resolve, it may be eligible for consideration by the Financial Ombudsman Service (FOS). For more information, please visit the Financial Ombudsman Service website.

Checkboard App
  • About
  • Contact Us
  • Help Center
  • Climate Pledge
  • Checkboard iOS App
  • Checkboard Android App
Partners
  • Pricing
  • CRM & CMS Integrations
  • Get Started
Client Onboarding for
  • Estate Agents
  • Residential Conveyancing
  • Automotive Brands
  • Law Firms
  • Letting Agents
  • Accounting Firms
  • Auction Houses
Security & Compliance
Checkboard has been assessed and certified as meeting the requirements of ISO/IEC 27001:2022. This certification demonstrates our commitment to industry-leading information security practices. Certification applies to our information security management system (ISMS) and not to individual products or services. You can verify the validity of our ISO certificate by entering our certificate number 265514 via this link.

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