Complaint Handling Assessment Checklist

  • Assess Complaint Handling Compliance
  • Excel Gap Analysis Tool
  • 50+ Assessment Questions
  • Instant Download After Payment
  • Comply with DISP and FOS

£25.00 (ex vat)

About the Complaint Handling Checklist

Checklist IconOur Complaint Handling Assessment Checklist will help you to identify gaps in your complaint procedures. It also provides invaluable management information on your compliance with key complaint standards such as the FCA and FOS. Provided in an easy to use Excel format, the checklist consists of 60 assessment questions.

Quickly identify gaps and evidence compliance without needing complicated dashboards or software. The checklist tool is accompanied by detailed guidance notes for using and editing the document. This allows you to add to the existing questions and tailor the complaint handling self assessment to your business and sector.

Use the complaint assessment checklist alongside our industry leading Complaint Handling Policy & Procedure template. Both documents are included in our Complaint Procedure Toolkit with complaint response templates and incident log.

The complaint checklist consists of 60 assessment questions across 10 main business areas: –

  • Complaint Handling Overview
  • Policies & Procedures
  • Financial Ombudsman Service
  • Timeframes
  • Verbal Communication
  • Written Materials
  • Response Letters
  • Expectations & Controls
  • Complaints Officer
  • Record Keeping
  • Reporting
  • Audits & Monitoring
  • Ready to Use Assessment – The checklist includes complaint handling and dispute related questions to carry out a company-wide audit. Focusing on the key customer complaint requirements, the assessment is ready to use, but is also fully customisable for simple business integration.
  • FCA & FOS Compliant – Our checklist covers the main requirements set out in the DISP sourcebook and also aids compliance with the standard Financial Ombudsman Service guidance. However, the assesment tool is suitable for all business types and industries requiring a complaint handling program.
  • Straightforward Audits – There are no difficult to use dashboards or complicated formulas with our checklists. What you see is what you get! Simple to use, straightforward questions that will help you to assess your compliance with the mandatory regulations and standards.
  • Gap Analysis – Our self assessment checklists are invaluable for carrying out gap analysis on essential regulatory business areas. Answering the questions will provide information on which areas are compliant and which need improvements.
  • Market Leading Checklists – Thousands of organisations already use our checklists to assess their ongoing compliance. Delivered in a Excel format, our self assessment checklists are flexible and user-friendly.
  • Developed by Experts – The team at Know Your Compliance Limited have been writing regulatory policies and checklists for nearly 20 years. Our compliance expertise means that you can accelerate your compliance audits and still save time and money.

Checklist Overview

Our Complaint Handling Assessment Checklist will help you to identify gaps in your complaint procedures. It also provides invaluable management information on your compliance with key complaint standards such as the FCA and FOS. Provided in an easy to use Excel format, the checklist consists of 60 assessment questions.

Quickly identify gaps and evidence compliance without needing complicated dashboards or software. The checklist tool is accompanied by detailed guidance notes for using and editing the document. This allows you to add to the existing questions and tailor the complaint handling self assessment to your business and sector.

Use the complaint assessment checklist alongside our industry leading Complaint Handling Policy & Procedure template. Both documents are included in our Complaint Procedure Toolkit with complaint response templates and incident log.

  • Complaint Handling Overview
  • Policies & Procedures
  • Financial Ombudsman Service
  • Timeframes
  • Verbal Communication
  • Written Materials
  • Response Letters
  • Expectations & Controls
  • Complaints Officer
  • Record Keeping
  • Reporting
  • Audits & Monitoring

Ready to Use Assessment – The checklist includes complaint handling and dispute related questions to carry out a company-wide audit. Focusing on the key customer complaint requirements, the assessment is ready to use, but is also fully customisable for simple business integration.

FCA & FOS Compliant – Our checklist covers the main requirements set out in the DISP sourcebook and also aids compliance with the standard Financial Ombudsman Service guidance. However, the assesment tool is suitable for all business types and industries requiring a complaint handling program.

Straightforward Audits – There are no difficult to use dashboards or complicated formulas with our checklists. What you see is what you get! Simple to use, straightforward questions that will help you to assess your compliance with the mandatory regulations and standards.

Assess Your Complaint Handling Compliance…

Effective complaint handling is one of the major cornerstones of any business. Knowing how your company is doing and what can be improved is essential for your reputation, customers and growth. Customer feedback goes a long way toward understanding minor issues and areas of growth.

However, what do you have in place if the minor issues become complaints?

Some organisations are obligated to comply with industry standards such as the DISP Sourcebook under the FCA or the Financial Ombudsman Service (FOS) regulations. However, all businesses should have adequate and standardised complaint procedures and controls in place.

Designed by experts, the complaint handling assessment checklist puts you in control of assessing and improving your complaint program. Developed using specific industry standards and general criteria, including rules set out in: –

  • The Financial Conduct Authority DISP Sourcebook Rules
  • The Financial Ombudsman Service (FOS) Rules
  • Generic UK Complaint Handling Standards & Guidance
Self Assessment Checklist Tool

Complaint Handling Toolkit..

AML Policy Template ToolkitOur comprehensive Complaint Handling Toolkit is used by hundreds of organisations to ensure their approach to customer disputes is effective and compliant. Including the complaint handling checklist, the toolkit also comes with a policy and procedure, letter templates, dispute log, response templates and a complaint procedure form.

Complaint Handling Toolkit

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