Complaints Handling Course

The FCA has identified that the number of complaints submitted in the financial services sector has increased year on year in recent times in the UK. 

Complaints Handling outlines how to deal with client complaints quickly and fairly. These rules aim to preserve a financial firm's most valuable asset: its reputation for integrity and client service.

Our Complaints Handling Training Course explains the FCA's rules for appropriately handling complaints from retail clients in the financial services sector.

For those in leadership positions, we have a companion course entitled Complaints Handling for Managers.

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Complaints Handling

About this Course

Available as part of our FCA Compliance Library.

Learning Objectives

This course will prepare you to:

  • Recognise complaints and the importance of dealing with them appropriately
  • Recognise how the Firm may receive complaints
  • Know the procedure for handling complaints
  • Follow the rules and etiquette for handling complaints
  • Understand the role of the Financial Ombudsman Service (FOS)

Course Outline

Welcome

What is Complaints Handling?

What is a complaint?

- Exercise: What is a complaint?

Why is Complaints Handling so important?

Types of complaints

- Exercise

Complaints management guidelines

- Exercise

Dealing with complaints

Complaints Handling procedure

- Exercise

Assessing complaints

- Exercise

Being proactive

Time limit rules

Appropriate redress & remedial action

- Exercise

Complaints Handling procedure

- Exercise: Complaints Handling policy

Handling complaints step-by-step

- Exercise: Handling complaints step-by-step

Mis-selling

Complaints Handling etiquette

- Exercise: Complaints Handling etiquette

Recording complaints

- Exercise

Get the picture

- Exercise

Role of alternative dispute mechanisms: FOS

- Exercise: Role of FOS

Root cause analysis

Summary

Affirmation

Assessment

FCA Course Library

Our FCA Course library of over 60 training modules covers everything from high-level and conduct of business standards to thematic topics, including treating customers fairly.

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FCA Course Library

Course Specifications

 

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Structure

Approximately 40 minutes followed by a 10-question assessment.

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Audience

Suitable for all staff - examples and interactivities designed for staff at all levels. No previous knowledge or experience is required.

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Design

SHARD-compliant, responsive display on all devices, accessibility on screen readers, visual design controlled via client style sheet.

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Test-Out

Ability to offer optional test-out, whereby users can choose to skip the course content and complete the learning assignment by simply passing the assessment 

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Compatibility

All Windows, Mac OSX, iOS, Android (Flash-free for mobile compatibility). AICC and SCORM 1.2-compliant, suitable for both hosted and deployed SCORM or AICC.

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Tailoring

Fully customisable on Skillcast Portal CMS.

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Translation

Pre-translated versions not available, but all text content can be exported for translation into all languages.

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Localisation

Based on UK legislation, but suitable for global audiences upon the removal of UK-specific references and translation as necessary.