How to balance compliance requirements and the client experience: Insights from industry experts 

In the second episode of our Build Better Habits series, we were joined by David Rawson, eCOS Head of Product at InfoTrack UK; Kate Burt, Owner of HiveRisk; and Eloise Butterworth, Compliance Manager at Lester Aldridge.

Our expert guests shared their insights on balancing compliance requirements with client service in today’s legal landscape. 

This episode covered: 

• The impact of technology on client onboarding 
• Strategies to avoid SRA fines 
• Key success measures to track 
• Future trends and challenges in compliance and client service 

Best practices for client onboarding 

Client onboarding is a critical phase that sets the tone for the entire client relationship. Kate emphasised the importance of understanding the client’s perspective. “Look at what is the customer experience, and put yourself into the customer’s shoes,” she advised. She identified common client grievances such as confusing paperwork and piecemeal information requests. To address these, she recommended clear paperwork, understanding the client and transaction before requesting information, and ensuring a friction-free process through effective use of technology. 

Eloise echoed Kate’s sentiments, emphasising clear and concise communication, managing client expectations realistically, and putting oneself in the client’s position. “You need to make them feel special in this process. They’re paying you for a service, and they want that service to be of a good standard,” she said. 

David highlighted the role of consistency and structure in compliance. “Ensure compliance almost by design,” he suggested, advocating for robust, consistent processes that allow firms to focus on client needs while maintaining compliance. 

Improving client care letters 

Client care letters are a crucial part of the client experience but also come with strict SRA compliance requirements. Eloise suggested simplifying these letters to ensure they are clear and concise. “If you’re sending a 10-page client care letter, your client is not going to read it,” she noted. She recommended focusing on what the client needs to know and removing unnecessary information. 

David added that client care letters should be seen as an opportunity to set the tone for the client relationship. “It’s not a piece of admin. It’s the first time you get to show off your skills and your ability to communicate something formal in a smart, clear, concise, effective way,” he said. 

Kate pointed out that the requirement for a client care letter has been removed, but clients still need to be kept informed. She suggested using a scoping document to provide key information upfront and separating detailed terms of business. “What does the client really need to know? And then what’s the small print?” she explained. ment and vigilance, ensuring that the firm is always prepared for potential threats. 

Six habits for forming an effective compliance strategy 

Creating a robust compliance strategy is essential for law firms aiming to stay competitive and efficient in today’s regulatory landscape. The panellists shared their top six business habits for forming an effective compliance strategy: 

1. Client-centric approach: Kate emphasised understanding client expectations and ensuring that compliance measures align with those expectations. “Focus on what the client is expecting first,” she said. 

2. Clear compliance principles: Establishing guiding principles for compliance is crucial. Kate recommended that firms establish principles that guide their compliance efforts: “Have a set of principles that say we are going to build compliance into the engine of everything we do.” 

3. Team training and support: Ensuring that compliance teams are well-trained and supported is essential. “Give them the right training to do that, or look at bringing in experts to do that for you,” Kate advised. 

4. Early engagement with end-users: David believes that: “Compliance projects work best when there’s early engagement with the end users,” he said. 

5. A proactive mindset: Kate advocated for a proactive mindset, where firms assume that competitors are waiting for them to fail. “The most successful businesses are the most proactive,” she stated. 

6. Business continuity: Assume that a compliance breach will happen and prepare accordingly. “Invest in the best technology you can find to protect your people,” Kate advised. 

Regular process reviews: Eloise suggested regularly reviewing processes and client experiences, seeking feedback, and conducting regular file audits. “Really just keep a track on what you’re doing,” she said. 

Embracing compliance and client experience for a balanced future 

Balancing compliance requirements with delivering exceptional client service is crucial for modern law firms. By understanding the needs of your clients, establishing clear compliance principles, and ensuring your team is well-supported, you can create a strategy that drives success. As the panellists highlighted, the key is to be proactive, stay informed, and always keep the client’s needs at the forefront of your decisions. 

For more exclusive advice and first-hand stories on balancing compliance requirements and delivering five-star client service, watch the full episode on-demand now. You’ll hear Kate, David, and Eloise share their experiences on effective client onboarding, avoiding SRA fines, and improving client care letters. 

This comprehensive approach will help your firm navigate the complexities of compliance while maintaining a high standard of client service. Watch the full episode on-demand to gain deeper insights and practical advice from our expert panel. 

Meet the experts 

Kate Burt is the founder of Hive Risk, a boutique compliance management company helping law firms across the country. With extensive experience in compliance, Kate provides valuable insights into managing risk and ensuring regulatory adherence. 

David Rawson is the Head of Product for ECOS at InfoTrack, an electronic onboarding system. David’s expertise lies in leveraging technology to streamline processes and enhance compliance in law firms. 

Eloise Butterworth is the Compliance Manager at Lester Aldridge, based on the South Coast. Eloise brings a wealth of knowledge in compliance management and practical strategies for balancing regulatory requirements with client service.