Quality / risk / compliance monitoring and management

Direct and personal assistance with your quality monitoring and management. 

Many firms have a full time quality / compliance / risk manager, whereas others do not have the resources to permit such appointments.  The recently introduced SRA Handbook and Outcome Focused Regulation (OFR) require firms to appoint a Compliance Officer for Legal Practice (CoLP) and a Compliance Officer for Finance and Administration (CoFA).  In some firms, these roles will be undertaken on a part time basis by a partner or other senior member of the organisation, in many cases reducing the time available for fee-earning work.

 The ultimate responsibility for risk and compliance lies with the firm and its CoLP and CoFA, but we can monitor the implementation and effectiveness of your systems, working directly with, and reporting to, the CoLP and CoFA.  Our service can be tailored to your requirements and resources.

You may wish us to take a full role supporting your CoLP, or to simply assist with certain aspects of compliance; the choice is entirely yours.

Some of the areas that you may want us to assist you with include:

  • file reviews
  • complaints and claims reviews
  • the development and / or monitoring of key plans, policies, processes and procedures (including Office / Quality Manuals)
  • Money Laundering Regulation and other key anti-fraud procedures
  • updates to relevant members of staff on key parts of the SRA Code of Conduct
  • the development of strategic, business, and marketing plans
  • the development, monitoring and testing of your Business Continuity Plan.

This list is not intended to be exhaustive; there may be other areas that you can think of.  Just let us know and we can discuss them with you.