Auditing Supervision in Law Firms - Identifying Gaps & Evidencing Compliance

Introduction

Effective supervision is a central requirement of the SRA regulatory framework and an important consideration during Lexcel assessments and CQS reviews. Having a supervision policy, however, does not necessarily demonstrate that supervision is working effectively in practice.

Weaknesses frequently arise where arrangements are informal, applied inconsistently or insufficiently recorded. Firms may also struggle to demonstrate that the level of supervision reflects the experience of individual staff, the nature of their work and the risks associated with particular matters.

A structured supervision audit can help firms identify gaps between their documented procedures and day-to-day practice before those weaknesses contribute to client complaints, service failures or regulatory concerns.

In this new virtual classroom seminar, Tracy Thompson will draw on her experience of reviewing files, complaints and compliance arrangements to explain how firms can evaluate the effectiveness of their supervision frameworks. The session will consider what evidence reviewers are likely to examine, how to identify weaknesses and how to implement proportionate improvements that can be demonstrated clearly.

What You Will Learn

This live and interactive session will cover the following:

• The regulatory and quality-standard requirements relevant to supervision
• What SRA inspections, Lexcel assessments and CQS reviews may examine
• Identifying gaps between supervision policies and day-to-day practice
• Assessing whether supervision arrangements reflect role, experience, workload and risk
• Testing supervision through file reviews, matter reports and management information
• Recognising indicators of ineffective or inconsistent supervision
• Evaluating supervision arrangements for hybrid and remote teams
• Recording supervision meaningfully without creating unnecessary administration
• Using audit findings to develop and document proportionate remedial action
• Creating an evidence trail that demonstrates effective supervision in practice

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.