Broker complaints handling procedure
SOP template
Check this template against your local regulations and your own policies before you use it.
| SOP no. | Version | Effective date | |||
|---|---|---|---|---|---|
| Owner | Approver | Review date |
Purpose
To handle complaints fairly, quickly and consistently, and to learn from them.
Scope
Any expression of dissatisfaction about the business’s service or advice, however it is made.
Responsibilities
| Role | Responsibility |
|---|---|
| All staff | Recognise complaints and pass them to the complaints officer the same day. |
| Complaints officer | Acknowledges, investigates and responds to each complaint, and keeps the register. |
Definitions
- External dispute resolution
- An independent scheme the client can go to if they are unhappy with your response.
Procedure
Recognise the complaint
Treat any expression of dissatisfaction as a complaint, whether by phone, email or in person.
Acknowledge it
Acknowledge it promptly, in the time your licensing rules set, and tell the client what happens next.
Investigate
Review the file, speak with the people involved and look at the facts fairly.
Respond in writing
Send a written response with the outcome and reasons within the time limit.
Caution: Tell the client in your response that they can go to your external dispute resolution scheme, and how.
Record and learn
Record the complaint, outcome and any fix in the register, and review the register each quarter.
Records
- The complaints register.
- Each complaint’s file and response.
Related documents
- File audit checklist
Revision history
| Version | Date | What changed | Approved by |
|---|---|---|---|
