Avoid customer frustration and unwanted FCA attention by creating a transparent, compliant, and effective complaints handling process.

Course Overview
You need to make it easy for customers to complain. What an aggrieved customer hates more than anything is a complaints process that’s opaque, complicated and onerous. The regulator couldn’t agree more.
The FCA expects you to treat your customers fairly. Which means you must have a straightforward, transparent and fair complaints process. If complaints handling is not high up on your agenda, now is the time to put it there.
But handling complaints is about more than showing the regulator that you’re treating customers fairly, it’s about actually treating your customers fairly. Your complaints procedure can have a profound effect on how your customers think and feel about your firm.
In this one-day course you’ll learn how to create an effective and sensitive complaints procedure that will help you keep your customers (who may have otherwise gone in frustration to your competitors).

•Understand the FCA’s expectations with Dispute Resolution rules (DISP)
•Learn how to successfully apply these rules
•Better understand the Financial Ombudsman’s Service (FOS) in relation to complaints management
•Learn how the Financial Services Compensation Scheme (FSCS) supports consumers
•Get better at recognising complaints and the processes needed to support management
•Understand the link between effective complaints management and business growth
•Create customer satisfaction by successfully resolving complaints.

Course Agenda

Complaint handling procedures
•DISP – Understanding the Dispute Resolution handbook
•Application to non-eligible complainants
•Are your complaints procedures aligned? What are the gaps?

Financial Ombudsman Service
•Understand the latest FOS trends
•Learn to avoid common problem areas
•Review real life cases
•How to improve performance

Recognising complaints
•What’s the definition of a “complaint”?
•Complaint forwarding
•Examples to learn from
•What is root cause analysis? Why bother with it? How do you implement it?

Effective implementation

•What are the benefits of effective complaint handling?
•Understanding your complainant’s expectations
•Improving interpersonal and communication skills
•How to deal with emotional complainants
•Internal education and implementation

Creating real satisfaction

•How to investigate objectively
•What are the wider circumstances?
•How to decide on an appropriate response
•Presenting that response to the complainant

This session will be delivered by Phil Dockerill.
Phil has been providing compliance support and training in the financial services industry for over 20 years, helping with the practical application of procedures across a wide range of firms. A significant part of that has been related to understanding DIDP (dispute Resolution) rules and implementing effective complaints handling procedures. He is experienced in training design and delivery.
Alongside training and consultancy, Phil has also held regulated sales and sales management roles and currently holds permissions to provide mortgage advice.

This session will run from 9.30am – 5.00pm (lunch will be provided).

Members: £349
Non-members: £699 (VAT exempt)

This session qualifies for 6 CPD hours and is endorsed by the CISI for CPD requirements. CISI members pay a discounted rate and can book via the link below. To receive your discount as a CISI member, please enter the discount code provided by the CISI.