Handling Complaints for Customer Facing Staff

Course Outline


The course starts by highlighting the importance of handling complaints correctly, covering key topics such as Treating Customers Fairly (TCF) and Root Cause Analysis. The FCA complaints handling rules are introduced, with real life disciplinary cases featured to stress the consequences of poor complaints handling.

What is a complaint?

This part of the course defines what a complaint is, including the different ways in which a complaint can be made. An exercise in included where learners are presented with scenarios to distinguish between complaints and queries.

The complaints handling process

This section examines the step by step complaints handling process and key regulatory requirements, covering the following topics:

  • Logging the complaint (and how to record related multiple complaints)
  • Identifying the issues
  • Investigation and escalation
  • Resolving the complaint (including response guidelines and compensation considerations)
  • Record keeping (with an exercise to identify deficient records)

Before progressing to the end of course test, the section concludes with some case studies where learners must identify the correct actions to take when presented with customer complaints.

Further Information


SCORM 1.2 compliant


The course runs on any SCORM compliant LMS platform. Adobe Flash Player v6 must be installed. Javascript must also be enabled and all pop-up blockers disabled.

Course Overview

This course provides an overview of the complaints handling process, highlighting the regulatory requirements and key considerations for effective complaints handling.

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Learning outcomes:

By the end of the course, the learner will be able to:

  • Recognise the importance of handling complaints correctly and the consequences for failings
  • Explain what a complaint is, and the ways in which a complaint can be made
  • Describe the key stages in the complaints handling process including the regulatory requirements


The course is suitable for all staff within the financial services industry (in particular customer facing staff) responsible for identifying, recording and resolving customer complaints. The course requires no previous regulatory knowledge or experience.

Course duration:

Approximately 20 minutes.


The course includes several review exercises to test understanding, together with a final multiple choice test.