Independent audit file and compliance reviews

Practical, regulator-aware reviews that improve audit quality - not just compliance

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Our reviews are designed for firms who want clarity and confidence in their audit quality. Perhaps your firm is:

  • Preparing for a monitoring visit

  • Needing assistance or reassurance following a visit

  • Wanting an independent insight on audit files

  • Concerned about consistency across teams

Cold File Reviews

We review completed audit files to assess compliance with ISAs (UK), highlight good practice and identify practical improvements — including comments on audit efficiency where relevant.

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Whole-Firm Reviews

A structured review of your firm’s compliance with audit regulations, including procedures, independence, fit and proper requirements, skills and competence, consultations and PII.

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Hot File Reviews

A pre-signing review to identify matters that need to be addressed before the audit report is issued. Particularly useful for high-risk clients, regulatory concerns or complex engagements.

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Specialist Compliance Reviews

Targeted reviews in areas such as ISQM, AML procedures, Probate, DPB investment business and ICAEW client money regulations.

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How we work

We are NOT regulators. We work with you to improve the overall quality and efficiency so your audit files are not only compliant but are easier review, and more robust under scrutiny.

We typically hold a face to face debrief (of up to an hour) with the audit team to provide an overview of the files reviewed, highlight the areas which are completed effectively and those areas that need more consideration. This is the perfect opportunity for you to get specific guidance on the ‘how’ rather than just the ‘what’ of auditing.

An integrated approach to audit quality

Whilst we offer training and reviews as separate services, our recommended approach for audit firms is to combine reviews with targeted, follow-up training and coaching. This ‘virtuous circle’ reinforces best practice, corrects observed deficiencies and generates measurable improvements in audit quality and efficiency.

See example

Let’s work together.

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