Compliance Academy: Complaints Handling
Would Your Sales Process Pass FCA Scrutiny?
As Compliance professionals, you play a crucial role in ensuring that your organisation adheres to regulatory standards and maintains the highest levels of integrity and customer trust.
In this module, we will explore the key strategies and best practices for managing and resolving customer complaints from a Compliance Officers perspective.
Our aim is to provide you with the necessary tools and insights to improve customer satisfaction and uphold trust.
During the session we will discuss and explore the following topics:
- The Compliance Officers role in ensuring the firm meets the FCA rules and expectations
- The importance of sufficient and effective oversight of complaints from recognition to resolution
- The importance of conducting Root Cause Analysis and how good quality Management information is crucial
- Dealing with Vulnerable Complainants
- Complaints recognition and reporting
- Outcomes testing – what this may look like
- During the session, we will look at some good and bad practice and the consequences
The Create Solutions Compliance Academy is a series of modules that are designed to help increase knowledge, skills and understanding of the regulatory requirements, but also how to practically apply the requirements on a day-to-day basis.
Date: 9th July 2026
Time: 10:00am – 12:00pm (including breaks)
Cost: £325 plus vat per person
To book: click to book or email deborah@createsolutions.co.uk
Zoom details will be sent in advance or within your automated confirmation email