Financial Services Complaint Management Tracker
A structured Excel-based complaint management tool designed specifically for UK financial services businesses.
The JMRT Financial Services Complaint Management Tracker helps firms manage complaints more consistently, keep key deadlines visible and turn complaint data into useful management information.
It brings complaint handling, customer outcomes, root causes, redress and Financial Ombudsman Service referrals together in one place, making it easier for Compliance, Operations and management teams to maintain oversight.
The workbook includes:
A detailed Financial Services Complaint Register
Tracking for 3-business-day, 8-week and relevant PSD / e-money complaint deadlines
Vulnerable customer indicators
Complaint owner and status tracking
Upheld / partially upheld outcomes
Root cause and corrective action tracking
Remedy and redress recording
FOS referral and outcome tracking
Complaint closure and resolution-time monitoring
A visual management dashboard
A structured monthly complaint review
Regulatory notes and FCA reference points
The dashboard provides a quick view of complaint volumes, open complaints, deadline breaches, complaints closed within 3 business days, redress, FOS referrals, vulnerable customer cases and recurring root causes.
A dedicated corrective action section also helps firms move beyond simply closing complaints by identifying recurring issues and assigning actions to improve processes, controls and customer outcomes.
The workbook is fully editable and can be adapted to your firm's products, business areas, complaint procedures and internal ownership structure.
Digital Delivery: This is a digital product and will be supplied electronically as an editable Excel workbook following purchase. No physical product is included.
This toolkit is designed as a practical management aid and should be used alongside your firm's own complaint procedures and current regulatory requirements.
JMRT Partners — Building Businesses That Last.
