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Complaint Handling and Regulatory Escalation

To train staff on receiving, recording, investigating, resolving, and escalating customer complaints in line with good governance and regulatory expectations.

5 9 Outlines
Real Estate Compliance Officers MLROs and Deputy MLROs KYC/CDD Analysts Front-line and Relationship Management Teams Customer Support Teams Operations and Finance Teams Internal Audit and Risk Teams Senior Management and Board Members DNFBPs and Regulated Entities FinTech Virtual Asset Insurance Broker Financial Services Professionals
Complaint Handling and Regulatory Escalation

About this program

To train staff on receiving, recording, investigating, resolving, and escalating customer complaints in line with good governance and regulatory expectations.

Program Content

9 outlines
1

What qualifies as a complaint

2

Complaint handling principles

3

Complaint register and documentation requirements

4

Acknowledgment, investigation, response, and closure

5

Root cause analysis

6

Escalation to compliance and senior management

7

Regulatory complaints and authority inquiries

8

Complaint trend analysis and reporting

9

Practical complaint response drafting exercise

Who this program is for

Real Estate
Compliance Officers
MLROs and Deputy MLROs
KYC/CDD Analysts
Front-line and Relationship Management Teams
Customer Support Teams
Operations and Finance Teams
Internal Audit and Risk Teams
Senior Management and Board Members
DNFBPs and Regulated Entities
FinTech
Virtual Asset
Insurance
Broker
Financial Services Professionals
$0.00
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This program includes:

  • Duration: 5
  • 9 Content Outlines
  • 15 Target Audiences

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