Sarah is responsible for ensuring compliance with the SRA handbook and all other regulatory requirements that apply to the firm.
This includes keeping all up to date on:
- Data protection
- Anti-money laundering
- Anti-bribery and corruption
- Equality and diversity
This is achieved by ensuring we have effective policies and procedures in place and then monitoring what really happens across the firm to ensure that these policies are processes are followed. Sarah maintains records of all compliance failures, provides support to remedy any issues and implements risk management controls.
Key aims and objectives…
Sarah has several aims for improving and upholding compliance procedures at gunnercooke
- Look for ways to minimise risk including staff training and awareness both internal procedures and external legislation
- Working on projects to make compliance training and information more accessible via keyword searching and online sections
- Ensuring that staff and partners keep up to date with required training (eg. AML)
- Track trends to find business risks and adjust policies
- Keep updated with changes in legislation and how they affect gunnercooke in particular and update our procedures accordingly.
How Sarah works with partners…
Sarah deals with various enquires both sensitive and general providing a service for all areas of regulation, risk and compliance. These are both bespoke areas to law firms as well as business in general.
She also often helps to assist partners with CPD seminars/webinars.
Areas of Expertise…
- Risk management
- Writing & updating policies and putting in place procedures
- Compliance controls
- Implementing and managing compliance frameworks