Struggling to Turn Complaints into Meaningful Insights?

The FCA expects more than just resolving individual complaints – you need to identify systemic issues, track root causes, and prove you're delivering good customer outcomes.

This comprehensive toolkit gives you everything you need to build a robust complaints analysis and MI reporting framework.

What's Included:

✓ Complete Root Cause Analysis Framework – The Five Whys methodology adapted for financial services, with step-by-step guidance for drilling down from symptoms to systemic issues

✓ 9-Category Root Cause Taxonomy – Process, People, Systems, Communication, Product Design, Third Party, Governance, Customer, and External – with 30+ secondary codes for granular analysis

✓ Individual Complaint RCA Record Template – Capture consistent data for every complaint, from proximate cause to wider impact assessment

✓ Operational MI Report Template (Weekly/Fortnightly) – Volume metrics, resolution times, uphold rates, FOS referrals, and redress tracking

✓ Management MI Report Template (Monthly) – Root cause analysis summary, trend arrows, top 5 issues, and action status tracking

✓ Board Reporting Dashboard – Executive summary format, RAG-rated KPIs, Consumer Duty implications, and recommendations for Board approval

✓ Trend Analysis Framework – Key indicators, warning signs, and escalation triggers to catch systemic issues early

✓ Action Tracking & Remediation Log – From "Open" to "Closed" with effectiveness review guidance

✓ Governance & Escalation Framework – Clear criteria for when to escalate to senior management and the Board

✓ SMCR Accountability Mapping – Align your complaints MI with SMF16 and SMF24 responsibilities

✓ Sample Completed Templates – Real-world examples showing how to apply the framework

Regulatory Alignment:

This toolkit is designed to satisfy:

• DISP 1.3.3R – Root cause analysis requirements

• DISP 1.3.6G – Governance reporting expectations  

• Consumer Duty (PRIN 2A) – Using complaints as evidence of customer outcomes

• FCA supervisory expectations from Dear CEO letters and thematic reviews

Who This Is For:

• Complaints Managers building or improving their RCA process

• Compliance Officers responsible for complaints oversight

• Senior Managers (SMF16) accountable for complaints handling

• Quality Assurance teams measuring complaints performance

• Board members and NEDs requiring strategic complaints MI

• Compliance consultants supporting client firms

Immediate Implementation:

All templates are fully editable and ready to customise for your firm. Adapt the root cause taxonomy to your specific products and services, plug in your data, and start producing meaningful MI that drives genuine improvement.

Format: Microsoft Word (.docx) – Fully editable

Length: 25+ pages of templates, guidance, and examples

Stop treating complaints as just problems to solve. Start using them as your free source of insight into customer experience.

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