Description:
Handling customer complaints is not just good service—it’s a regulatory expectation and a key part of protecting your institution. This session provides a practical guide for community banks, credit unions, and financial institutions to strengthen complaint management programs.
You’ll learn how to identify and capture complaints across all channels, document and resolve them effectively, and use feedback to prevent compliance gaps and emerging risks. Real-world examples will show how complaints can highlight operational weaknesses before they lead to enforcement actions, helping your team turn issues into opportunities for improvement and risk mitigation.
Who This Is Designed For: Community bank and credit union staff, fintechs, MSBs, and compliance officers, operations professionals, and risk managers who want practical guidance on complaint management and how to link complaints to regulatory compliance. No advanced experience is required—just a focus on applying best practices effectively.
Agenda:
Why Complaint Management Matters: Understand how complaints connect to compliance risk and regulatory focus.
Identifying and Capturing Complaints: Learn to recognize formal and informal complaints across all intake channels.
Documentation and Resolution: Best practices for recording, investigating, and resolving complaints.
Regulatory Expectations: Key rules and examiner priorities to ensure compliance.
Using Complaints as a Risk Tool: Spot trends, identify root causes, and prevent bigger issues.
By the end of this webinar, you will know how to:
Recognize and capture complaints from all sources effectively.
Document, investigate, and resolve complaints in line with regulatory expectations.
Link complaint data to compliance risks and emerging regulatory concerns.
Spot patterns and root causes that could lead to enforcement actions if ignored.
Use complaint management as a proactive tool to strengthen operations and protect your institution’s reputation.