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Home › Solutions › ⚖️ Legal & Professional Services › MS 02 — Client Matter Compliance Checklist Engine
02
⚖️ Legal & Professional Services
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19-Step Compliance Enforcement. Structurally Immutable.

The Client Matter Compliance Checklist Engine enforces a 19-step compliance process on every matter — 12 opening steps and 7 closure steps. Matters cannot progress without compliance evidence. MLRO alerts fire automatically for high-risk AML matters. COLP waivers require documented approval.

The Problem This Solves
Law firms often have compliance checklists on paper or in case management systems that can be bypassed, skipped, or completed retrospectively. When the SRA asks for evidence that the process was followed on a specific matter, they cannot produce it with timestamps and approvals.
Regulatory Basis
SRA Code of Conduct 2019, §1.1 · MLR 2017, Reg 28
Firms must have systems in place to ensure client matter compliance. MLR 2017 Regulation 28 requires CDD to be completed before, or as soon as reasonably practicable after, establishing a business relationship.
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⚖️ Legal & Professional Services
MS 02
Client Matter Compliance Checklist Engine
£1,397
ONE-TIME · FULL CODE OWNERSHIP · NO LICENCE FEE
✓ Production-ready PostgreSQL schema
✓ n8n automation workflow (JSON export)
✓ HTML / JavaScript frontend
✓ Immutable audit trail built in
✓ Build guide — step-by-step setup
✓ Sub-30-second evidence retrieval
✓ SRA Code of Conduct 2019, §1.1 aligned
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Delivered and live within 14 days or money back
What's Included

Six Production-Ready Deliverables

Every component is built, tested, and transferred to you on day one of deployment. No dependencies. No ongoing licence fees. Full code ownership from the moment it goes live.

🗄️
matters + checklists schema
matters table, checklist_items table (19 rows per matter), completion_records table. Three-layer enforcement: application validation, stored procedures, database triggers.
⚙️
sp_create_matter_with_checklist
Stored procedure that creates a matter and atomically generates all 19 checklist items in a single transaction. No partial state possible.
⚙️
sp_complete_checklist_item
Procedure for recording checklist item completion with completing_officer, timestamp, and evidence reference. Immutable once recorded — no UPDATE or DELETE permitted.
🚨
MLRO Alert Gate
PostgreSQL trigger fires when a high-risk AML matter is created. Alert written to mlro_alerts table. n8n picks up the alert and emails the MLRO. Matter is soft-blocked pending MLRO review record.
📊
vw_matter_compliance_dashboard
Live view per matter showing checklist completion percentage, blocking items count, AML status, COLP waiver status, and matter_compliance_score (0–100).
🔄
n8n Matter Workflow
Handles matter creation, checklist item completion, MLRO alert dispatch, COLP approval routing, and closure checklist triggering. Full audit event logged at each step.
Technical Specification & Live View

Built to Run. Not to Demo.

Every UNUS London mini solution is a production system — not a prototype. The schema runs on PostgreSQL 17.4 with full referential integrity, Row-Level Security, and an immutable audit trail from day one. The n8n workflow handles every user interaction end-to-end.

The evidence view below is representative of the live data structure you will have in your system. Every record shown reflects the actual column names, data types, and status logic in the deployed schema.

DatabasePostgreSQL 17.4 (Supabase)
Tables5 (matters, checklist_items, completion_records, mlro_alerts, colp_waivers)
Stored Procedures3 (create_matter, complete_item, trigger_closure)
Views5 (dashboard, blocking_items, aml_compliance, readiness_score, full)
Checklist Steps19 (12 opening, 7 closure)
Enforcement Layers3 (application, procedure, trigger)
Code Ownership100% — transferred Day 1
compliance_dashboard — live view
Matter Client Type Checklist Score Status
CLT-001 Acme Holdings Ltd Commercial Property 11/12 92% 🟡 2 blocking
CLT-002 Jane Smith Residential Conv. 12/12 100% 🟢 Clear
CLT-003 BuildRight Ltd Contract Dispute 8/12 67% 🔴 MLRO Review
CLT-004 T. Okafor Employment 12/12 100% 🟢 Clear

Get the Client Matter Compliance Checklist Engine
live in your firm.

A 30-minute discovery call is enough to scope this system for your firm, walk through the schema live, and confirm the delivery timeline. No obligation. A genuine technical conversation.

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