Risk management frameworks and compliance

Organisations today are not only facing increasing levels of regulatory and legislative change and oversight, but are also dealing with challenging economic conditions. 

At the same time, customers have increasing expectations of service and trustworthiness from the companies they deal with, and are prepared to take action when their expectations are not met.

At Capita, we can deploy our proven governance structure to ensure that we handle risk management frameworks and compliance appropriately on your behalf, with a strong focus on consumer protection and the delivery of appropriate outcomes for your customers.

We recognise that when it comes to implementing and embedding solutions into your organisation, there is no one-size-fits-all approach. Our frameworks are fully integrated, and support and complement each other.

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Our approach

Meeting regulatory and governance responsibilities

Where we manage your services, we can embed our award-winning OCFs, so that you can be confident we are operating a controlled business on your behalf and meeting regulatory and other governance responsibilities.

Treating Customers Fairly (TCF)

We believe that customers are at the heart of every organisation, and our approach ensures that all business processes are customer-focused.

Managing breaches (incidents), including data protection

We promote compliance with regulatory and legislative requirements.

Handling complaints fairly

We are committed to ensuring that complaints are handled fairly, and we focus on correction and prevention.

Quality control

We make sure that quality controls are appropriate for the complexity and risk profile of your business, resulting in reduced costs and improved customer experience.

Process and procedure

We ensure that all your documentation is robust, is set out in a consistent and easily understood format, and is reviewed regularly.

Root cause analysis

We promote effective identification of true root causes so that underlying problems can be addressed and customer experience improved.

Training and competence

We ensure that every employee has the knowledge and skills to perform their role to the necessary standard.

What to expect

Our risk management frameworks and compliance solution can offer a proven way of embedding compliance and risk management structures whilst encouraging innovation and delivering tangible service improvements.

Our operational control frameworks (OCFs) have a set of embedded frameworks which guarantee that your organisation's business is being well controlled and well managed, and that requirements laid down by the regulator are being met.

The frameworks provide a platform that helps to assess and improve performance in many areas, often resulting in resource and cost savings and providing a basis for implementing innovative ideas. A firm's customers can benefit directly from embedded controls, because they provide a structure for collating and reviewing errors, understanding the root cause of errors and implementing corrective actions to prevent recurrence. This reduces complaints and improves processes, procedures and the overall delivery of customer service.

We have developed our OCFs so that they are relevant and applicable across a wide scope of operations. The frameworks are a robust and integrated approach to operating a controlled business and provide underlying principles for how things are done on the ground. We know that there is no one-size-fits-all approach to implementation; one of the greatest benefits of our frameworks is that they are flexible enough to apply across a range of different clients who may have multiple locations, both onshore and offshore, and who may have inherited complex and varied business models and controls.

Good governance = good business

Operational control frameworks (OCFs) form an integral part of Capita’s first line of defence model, ensuring that we have clear, practical guidance on what is required to operate a well-controlled business. OCFs support our business areas by:

  • Helping to make "doing the right thing" part of the DNA of our business
  • Demonstrating that we are genuinely customer-centric
  • Providing a consistent approach across multiple locations and a large number of operational staff on- and offshore
  • Preventing errors from occurring and therefore reducing the amount of time and resource required to deal with complaints, breaches, re-work and client queries
  • Detecting errors when they do occur and understanding the root causes of them so that they can be addressed
  • Providing a lens through which opportunities for the continuous improvement of operational processes can be identified

Whilst OCFs are a key part of a manager’s role and need to receive the appropriate time and focus in their own right, implementing them effectively will also help managers to achieve their service, efficiency and resource management objectives.



The strength of our partnership with Capita, the collaborative working relationship and our common, customer-centric approach have been pivotal in enabling us to prepare effectively for implementation of these significant changes to retirement options affecting customers’ lives.

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Get in touch if you have a question or would like to explore how our solutions could help your organisation.

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