Template: Handling a customer complaint
How to receive, investigate, and respond to a complaint
A customer must have had the opportunity to complain to the business itself before the matter can proceed to the Financial Appeals Board. That makes your handling of the first complaint crucial — both for the customer and for the case.
§Receive the complaint
- 01Confirm receipt in writing to the customer
- 02Note date, channel and a brief description of the complaint content
- 03Show understanding for the customer's frustration without promising a specific outcome
§Investigate the matter
- 01Review case notes, agreements and correspondence in the case
- 02Assess whether the advice lived up to good practice and the company's internal guidelines
- 03Involve your manager or legal function if there is doubt about the assessment
§Answer the customer
- 01Provide a factual concrete and justified answer
- 02Be honest if the company has made a mistake, and explain how it will be corrected
- 03Inform about the possibility of escalating the complaint to the Financial Complaint Board if the customer remains dissatisfied
§After the answer
Archive the entire process so the case is fully documented if the customer chooses to proceed. Also use the complaint as learning — ask yourself whether anything in the advice or process can be improved so similar complaints are avoided in the future.