We know that law firms working for financial institutions require a real depth of regulatory knowledge and a detailed understanding of how regulators expect customers to be treated.

Our team progress every single case with ‘treating customers fairly’ and ‘the customer journey’ at the forefront of their minds.

Our award-winning compliance team

Our governance, risk and compliance function is led by our Risk & Compliance Director and supported by a dedicated team that includes a Conduct Risk Manager, Compliance Analysts, a Training Manager, an outsourced compliance consultancy and our internal audit team. Together, they ensure that our business operates to the highest regulatory and ethical standards.

The Compliance team operates under a three lines of defence model that assesses and monitors your risk appetite while ensuring fair and consistent outcomes for all customers. This approach ensures complete alignment with your outsourcing and third-party risk management requirements.

Our compliance culture and Consumer Duty

Our senior management team promote a culture that focuses on our Consumer Duty obligations ensuring we deliver outcomes aligned with the best interests of our customers.

The senior team has a clear objective, and that is to provide leadership and direction in order to create an environment that enables capable and competent paralegals and lawyers to make informed judgements.

Consumer Duty - Caring for your customers

As part of our commitment to fair outcomes for consumers, we engage sensitively with those who have specific needs or circumstances which are likely to limit their ability to manage their situation effectively.

We treat all customers as ‘potentially vulnerable’ from the outset and quickly identify those at a heightened risk of harm, loss or disadvantage as being ‘vulnerable’.

Our callhandlers are trained to provide tailored support to ‘vulnerable’ customers and this support is regularly reviewed until our file is closed.