The Art of Handling Complaints - 21/06/2018
The Training Environment For Financial Services

The Art of Handling Complaints

21 Jun 2018, London

9:30am to 4:45pm

Outline & Objectives

The FCA’s complaint handling rules exist to provide a framework of what should be done and when. They provide consistency and a minimum standard for firms to work to. But what they don’t do is tell firms how best to approach and handle complaints, or talk about the impact people have on a process like DISP. 

Customers don’t judge firms when things are going well. But your customers will judge a firm when something has (in their eyes) gone wrong, and when they look to you (yes you) to put it right. It’s also often the moment when a customer feels they’ve got to experience a firm’s true attitude towards its customers.  

This very practical course will help you to get under the skin of complaints, to understand more about how complaining can make customers feel and react, and what they are really unhappy about. It will explore what handling complaints is like in the real world, what to avoid doing and what to do to get things back on track.

If you handle complaints or customer queries, or have oversight for these areas in a FCA regulated firm, this course will help you:

  • Build on what you need to do under the basics of DISP
  • Understand what drives people to complain, and what can get in the way 
  • Know how people think, feel and behave when they complain
  • Avoid common complaint handling mistakes
  • Have the best chance of reducing unnecessary escalations and referrals to FOS

Who will benefit?

The course will be of value to those handling or overseeing complaints, and frontline and ‘business as usual’ customer queries and journeys, including Complaints, Customer Services, Customer Experience, Operations, Compliance, Legal and Quality Assurance professionals in FCA regulated organisations.

This programme is complementary to our more technical regulatory course Effective Complaint Handling under DISP and the focused half day De-Mystifying the Financial Ombudsman Service.

are available for multiple bookings :
make three registrations to any one or combination of these events and the third or lowest
value registration will be FREE OF CHARGE.

For more information or to take advantage of this special saving, please call 0330 303 9779 or email

Training Approach

This informal workshop uses a combination of trainer input, knowledge sharing and talking through real-life situations. We recommend the group is kept to a maximum of 16 people to enable delegates to get the most out of the day.

Course Leader

Caroline Wells is an award-winning Customer Insight professional with over 25 years of transformational leadership in financial services. Having recently left a senior position at the Financial Ombudsman Service, Caroline has a deep-rooted knowledge of customer experience, diversity legislation, outreach and complaints handling.

As well as advising businesses in and outside of financial services in these areas now, Caroline is an independent advisor to several organisations, including Kent’s Police and Crime Commissioner. Caroline is a member of several professional bodies including, ICS, CIPR and IEDP.

Course Agenda

Session Content
  • Objective of training
  • What you’d like to know by the end of the day
  • What does the FOS see (and think)?
  • Let’s be honest about complaints
The basics
  • A quick refresher on DISP – what DISP does and doesn’t say
  • Making sure the basics are right
  • Power at your fingertips
  • The spotlight’s on you
Complaining is easy?
  • What makes people complain?
  • What stops people complaining?
  • The unique psychology of
  • complaining about financial services
  • Hedging bets and relationships
  • Brain freeze and its impacts
  • What this all means for you
Customer expectations and expectations on customers
  • What do customers want?
  • What do customers need?
  • And how do you work out either?
  • Living in an omnichannel world
  • Why customer expectations can plummet
  • When being an expert can be a bad thing
  • Do you really know how they feel?
Common complaint handling mistakes
  • Things to avoid (doing and saying)
  • Coming over loud and clear?
  • Stepping away from the big red button of doom (however tempting)
When things just get a bit difficult
  • Getting to the bottom of what’s really going on
  • When to draw the line
  • Knowing your triggers (and how to work with them)
Wrap up
  • Objectives of training
  • Did you find out what you wanted to know?
  • Time for questions


This course can be delivered in-house at a time and location to suit your business and tailored to suit your people and organisation. We can also create bespoke training when something very specific is needed.Please contact us to discuss your requirements in more detail and at no obligation.

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