Our Complaint Handling Compliance Checklist comes in 2 formats to enhance user preference. Consisting of over 70 assessment questions, the checklist enables you to assess, review and evidence your compliance with the FCA’s DISP rulebook and expectations on complaint handling, as well as the Financial Ombudsmans Service requirements and timeframes.
The checklist comes in both Word and Excel formats, using the questions and assessment areas, but allowing the user to select their preferred method of auditing. The Excel version uses simple filter features (as oppose to complex formulas), to allow easy selection and reporting of gap and non-compliant areas. The filters provide users with options for displaying select critera and enhances management information and reporting, as well as providing automated colour-coded priority ratings.
|Complaint Handling Checklist & Gap Analysis|
|TYPE:||Audit Checklist & Gap Analysis||SIZE:||15 pages (Word) 3 Tabs (Excel)|
|FEATURES||Gap Analysis, Checklist, Status & priority filters||FORMAT:||Word.doc & Excel|
|DELIVERY:||Digital via Email||CUSTOMISABLE:||Yes|
|Assessment Criteria includes: –|
|Complaint Handling Overview||Using the Audit Checklist|
|Policies & Procedures||FOS & Timeframes|
|Verbal Communication||Written Materials (including final response letters)|
|Expectations & Controls||Complaints Officer|
|Record Keeping & Reporting||Audits & Monitoring|