Policies, Compliance and Governance for Professional Services
Policies a manager can apply, and obligations with owners and dates.
What this looks like in professional services
The parts of policies, compliance and governance that are specific to this sector, rather than general.
Professional and Employment Obligations
Where regulatory duty sits alongside employment policy.
What this coversHide
Professional and Employment Obligations
Where regulatory duty sits alongside employment policy.
What this coversHideA professional firm carries obligations from its professional body alongside ordinary employment ones, and the two sets are frequently owned by different people who do not compare notes.
- Professional body obligations tracked alongside employment ones
- Client confidentiality and conflict-check policy
- Independence and ethics policy where applicable
- CPD and practising credential records maintained per individual
- Data handling policy covering client information
- Partner and employee obligations distinguished
- Named owner per obligation, with review dates
- Records retained for professional and regulatory purposes
Practising credential tracking is the item most often assumed to be each individual's own responsibility, and it is the firm that is exposed when one lapses.
The general method — what policies, compliance and governance covers, the questions it answers and what an engagement produces — is the same whatever the sector, and is set out on the hr policies and governance page. What is above is the part that differs for professional services.
Other HR topics for professional services
Where to start
Most engagements begin with a review of how this runs in your business today, then a written process and the sequence to implement it.
See all HR topics for professional services, or another industry.