Webinar on Complaint Handling in a Regulated Environment

The Insurance Institute of Cardiff invite you to a Webinar on Complaint Handling in a Regulated Environment

Event Details:

Tuesday 6^th June 2023 2023 – 12:30-13:30pm

The webinar will be run via Zoom, a global web-conferencing solution. Zoom is easy to use, a link and joining instructions will be sent to you at the time of booking.

About the session:

Complaints are often viewed as an inconvenience to firms, as they can be time-consuming and costly to resolve. However, complaints are actually a constructive way for firms to assess and review their activities, particularly what might not be going right, and to investigate whether their products are fitting the wants, needs and expectations of their target customers.

At the very least the FCA advise that complaints should be seen as a stress-test of a firm’s Treating Customers Fairly (TCF) policies determining the root causes and addressing them.

In this webinar we will explore what defines a complaint, why they are important and how complaints should be handled from start to end in a regulatory environment.

What will be covered:

• What is a complaint? And why are they important?
• The Complaints Process from receipt to resolution, redress and settlement
• The Financial Ombudsman Service (FOS) their role, jurisdiction and powers
• Treating Customers Fairly and Conduct Risk
• FCA Reporting Requirements
• Other implications of Complaints against a firm

Learning Objectives:

• Understand the importance of complaints to your organisation
• Be able to define what a complaint is and why they must be recorded
• Be aware of the timescales and the process for dealing with regulated complaints
• Understand the role of the Financial Ombudsman Service
• Be aware of the FCA’s reporting requirements

Trainer Background:

The Course will be run by Kerris Earle of Zing 365.

I am a compliance professional with 9 years’ experience in highly regulated environments in a variety of roles. With 5 years’ experience in compliance and governance positions across insurance and fundraising. I chose compliance as my specialism as I enjoy topics that require critical thinking, ethical consideration, interpretation of regulation/legislation, and that offer challenge in an environment subject to change.

My knowledge and experience coupled with my passion and approach to compliance as a collaborative cross-organisational function, moving away from compliance as a “tick box exercise”, has helped shape and support organisations to succeed whilst still offering protection from financial and reputational damage.

Training, learning and development and offering guidance on complicated topics in simple understandable terms has always been my favourite part of my previous roles, and I am passionate about sharing my knowledge, experience, and expertise to allow others to develop and grow.

Further information

A link will be sent via your email address supplied at the time of booking. PLEASE DO NOT share this with anyone else.

Please note that this webinar will be hosted on the Zoom platform which may be restricted by some employers. Members may need to utilise their own personal devices in these circumstances to access the platform.