Governance, Risk and Compliance

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 heavyweight Governance, Risk and Compliance team is led by our Compliance Director, who is supported by the Compliance Manager and Compliance analysts, the Head of Training, an outsourced compliance consultancy, and our internal Quality Assurance function.

The Compliance team operate a three lines of defence model that is designed to assess and monitor your appetite for risk, whilst ensuring fair and consistent outcomes for all of your customers.

The team won the ‘Practice Management’ category at the 2019 Northern Law Awards in recognition of this industry-leading approach to compliance.

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.