Compliance, Risk & Governance

Protect your business. Strengthen your foundations

Growth brings opportunity, but also risk.

As your business expands, so does the need for robust systems, stronger controls, and clear accountability.

Poor governance or missed compliance deadlines can damage cash flow, reputation, and stakeholder trust.

At Lock & Ledger, we help you put the right frameworks in place. From internal controls and compliance processes to financial governance and risk management. We give you peace of mind that your business is protected, controlled, and fit for scale.

How We Deliver

Compliance Calendar & Action Tracking

We put in place a tailored compliance tracker so nothing falls through the cracks. From HMRC deadlines to ISO audits.

Policy Writing & Documentation

We produce or update governance documentation, including financial procedures, risk policies, and compliance checklists.

Audit & Assurance Preparation

We prepare your business for external audits and due diligence reviews—ensuring documentation and systems are aligned and defensible.

Internal Control Assessments & Implementation

We assess your existing systems, identify gaps, and embed robust controls that protect cash, data, and operations.

Accreditation Support

Whether you’re aiming for ISO, CHAS, MCS,, or similar, we’ll guide you from initial gap analysis through to audit success.

Confidence That You're Compliant

Regulatory compliance isn’t optional, and it doesn’t need to be a burden.

We manage the process for you, keeping your finance and operations aligned with key requirements, from tax and payroll to GDPR and ISO.

Regulatory Compliance Oversight

We manage finance-related compliance such as VAT, PAYE, P11D & pension contributions,

Accreditation Support (ISO & Others)

We help you gain and maintain ISO 9001, ISO 14001, ISO 45001, and other industry accreditations, including documentation, audit readiness, and internal reviews.

Benefit: Fewer risks, missed deadlines, or fines. Just consistent compliance handled professionally.

Governance That Supports Growth

Governance isn’t just for big corporates. For growing SMEs, it’s the structure that supports decision-making, protects your finances, and sets the tone for accountability across your team.

Financial Controls & Delegation Structures

We implement practical internal controls, approval workflows, and finance procedures to ensure money is spent wisely and risks are managed.

Board Reporting & Policy Design

We help define policies for finance, operations, health & safety, and data, ensuring clarity and alignment as you grow your leadership team.

Benefit: A business that runs with clarity, accountability, and professional discipline.

Risk Awareness and Resilience

From cyber security and operational disruption to supplier issues and cash exposure, we help you identify, assess, and plan for business risks before they become real problems.

Risk Register & Mitigation Frameworks

We create business-wide risk registers and mitigation plans covering finance, compliance, operations, and people.

H&S, Data and Operational Risk Reviews

We review and improve risk controls across safety, GDPR, supplier onboarding, and contractual exposure, especially important for regulated or high-growth environments.

Benefit: Greater resilience and a more investable, exit-ready business.

Is Compliance, Risk & Governance Right for You?

This service is essential if:

You’ve grown quickly and your compliance and control processes haven’t kept up
You’re facing increasing regulatory, contractual, or operational risks
You want to prepare for external investment or accreditation
You need help managing finance compliance (VAT, PAYE, Pensions, etc.)
You want more confidence that your systems and processes are robust

Lock & Ledger provides experienced, hands-on support to help you build the kind of business investors, regulators, and customers trust.