Turning Complaints into Compliance Wins: Protecting Your Institution and Reputation
Course Description
Handling customer complaints effectively is more than just good service—it’s a regulatory expectation and a critical part of risk management. This session will help community banks and credit unions strengthen their complaint management programs by addressing root causes, tracking trends, and using feedback to improve operations. We’ll discuss best practices for documenting, responding, and escalating complaints, as well as how to ensure your institution meets regulator expectations and avoids reputational damage. Real-world examples will demonstrate how complaints can reveal compliance gaps and emerging risks before they turn into enforcement actions.
Agenda
Why Complaint Management Matters – Linking consumer complaints to compliance risk and regulatory focus.
Identifying and Capturing Complaints – Recognizing formal complaints and all intake channels.
Documentation & Resolution – Best practices for recording, investigating, and resolving issues.
Regulatory Expectations – Key requirements and examiner hot buttons.
Using Complaints as a Risk Tool – Spotting trends to prevent bigger issues.
Instructor: Sandy Knight
Course Description
Handling customer complaints effectively is more than just good service—it’s a regulatory expectation and a critical part of risk management. This session will help community banks and credit unions strengthen their complaint management programs by addressing root causes, tracking trends, and using feedback to improve operations. We’ll discuss best practices for documenting, responding, and escalating complaints, as well as how to ensure your institution meets regulator expectations and avoids reputational damage. Real-world examples will demonstrate how complaints can reveal compliance gaps and emerging risks before they turn into enforcement actions.
Agenda
Why Complaint Management Matters – Linking consumer complaints to compliance risk and regulatory focus.
Identifying and Capturing Complaints – Recognizing formal complaints and all intake channels.
Documentation & Resolution – Best practices for recording, investigating, and resolving issues.
Regulatory Expectations – Key requirements and examiner hot buttons.
Using Complaints as a Risk Tool – Spotting trends to prevent bigger issues.
Instructor: Sandy Knight
Course Description
Handling customer complaints effectively is more than just good service—it’s a regulatory expectation and a critical part of risk management. This session will help community banks and credit unions strengthen their complaint management programs by addressing root causes, tracking trends, and using feedback to improve operations. We’ll discuss best practices for documenting, responding, and escalating complaints, as well as how to ensure your institution meets regulator expectations and avoids reputational damage. Real-world examples will demonstrate how complaints can reveal compliance gaps and emerging risks before they turn into enforcement actions.
Agenda
Why Complaint Management Matters – Linking consumer complaints to compliance risk and regulatory focus.
Identifying and Capturing Complaints – Recognizing formal complaints and all intake channels.
Documentation & Resolution – Best practices for recording, investigating, and resolving issues.
Regulatory Expectations – Key requirements and examiner hot buttons.
Using Complaints as a Risk Tool – Spotting trends to prevent bigger issues.
Instructor: Sandy Knight