How to better deal with complaints and compliance considerations

Kate Burt joins this latest episode of the Today's Conveyancer podcast. Kate is a solicitor and compliance consultant, running specialist consultancy Hive Risk. The topic of discussion is compliance and the way external organisations can support firms, before moving on to specifically talk about complaints handling.
As Kate says, compliance is not just the SRA handbook. It touches on a myriad of other issues compliance professionals must manage including data protection, anti-money laundering, professional indemnity insurance, cyber issues, conflicts of interest... the list goes on. And the challenge for firms and compliance professionals working in them is having that lLength and breadth of knowledge.
Discussing what often lands on the desk of compliance professionals Kate says that all to often one complaint will highlight failures across a range of compliance issues, pointing to a recent complaint she was was instructed to deal with which identified further work to be done around conduct, negligence, notification to insurers and more;
"that's fairly typical" says Kate.
Alongside dealing with specific issues, which in conveyancing often revolve around timescales, delays, communication and fees, Kate says firms must be better at capturing complaints data to enable them to drill into trends and root cause analysis; it can be a failure of process, rather than an individual fee earner which is causing the issue suggests Kate.
It can be the case that firms become too emotionally involved when it comes to complaints handling and in the discussion Kate provides her insight into complaints best practice, sharing her experience working with firms up and down the country; a very useful listen for compliance professionals and law firms.
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