Risk management and compliance

A risk and compliance 'health check' is the first step towards establishing a compliant regime. We will identify any regulatory issues and devise solutions.

Compliance audit/risk management support

A compliance and risk management ‘health check’ is the first step towards establishing a compliant regime. We will identify any actual or potential regulatory issues or failings and devise solutions. We will also highlight risks that are causing or can lead to claims and complaints. Our aim is to address areas of non-compliance and assist in implementing improvements to systems or devising new ways of working to eradicate or reduce risk.

COLP and COFA support

Recording and reporting breaches is a key element of the COLP and COFA roles. We can provide suitable templates and audit trails, draft and review risk registers, collect and collate data and advise on serious breaches.

A dedicated helpline is available, providing access to advice on all client care, compliance, disciplinary issues and assistance to COLPs and COFAs who need a helping hand, a second opinion or simply some comfort that they are properly managing what can be difficult roles. We can also run practical workshops and seminars on client care, risk management, compliance issues and other topics linked to the firm’s business.

Book your free consultation

We offer a free 30 minute consultation on all matters relating to risk and compliance.

Get support with defending an SRA prosecution

Audits

Auditing is a fundamental management and supervisory tool, helping to ensure legal and regulatory compliance. We can review your firm’s procedures and work with you to tailor them to your specific needs.

Our file auditing service can identify key risk areas which may give rise to breaches, claims or complaints allowing them to be addressed.

Claims and complaints

With our extensive experience in dealing with professional indemnity claims for lawyers and their insurers, we offer an unrivalled service. We can advise on cost-effective and compliant complaints-handling schemes and provide objective advice leading to satisfactory and swift resolution of claims and complaints, or rectification of mistakes to avoid compensation being paid, or even a claim being made. We have considerable experience in dealing with complaints to the Legal Ombudsman (including advising on and taking cases to judicial review).

Outsourcing to the Compli team releases time to concentrate on developing and growing your business.

Disciplinary defence work

Compli’s disciplinary and representation services combined with our expertise in professional indemnity claims provides a “one-stop shop” for firms and individual lawyers under investigation by the SRA or BSB. Our legal compliance consultants' experience and understanding of how regulators deal with these issues informs the advice that we provide and optimises the prospects of a successful defence.

Training – in-house and e-learning

All staff require training on a range of regulatory and statutory areas, including the SRA Standards and Regulations, anti-money laundering, data protection etc. We can provide bespoke face-to-face training, webinars etc.