Express: Complaints

Express: Complaints

This topic covers the complaints procedure for financial service firms, both in terms of how to make a complaint as a client and how to respond to complaints as a company.

This module provides express learning in what we mean by complaints in the context of financial services, who can make them, how to handle them, and the importance of record keeping. The content is designed to ensure that upon completion, you will be able to resolve complaints, within the required regulations and wherever possible without damaging client relations.

What you’ll learn
  • Why and how a complaint may be made to a financial firm
  • How to respond to a complaint as a company
  • How the complaints process must be recorded
  • An understanding of the role of the Financial Ombudsman Service
  • Timeframes for investigation
This course includes
  • Access to 30 minutes of online content
  • Networking opportunities with the learning community
  • Support from a course tutor
  • Technical assistance
  • End of course assessment

This course is suitable for all individuals within a financial services firm.

Complaints can come in any format, and so it is just as relevant for the person who is likely to answer the phone to calls from clients, to the person who manages the company social media accounts, to the compliance department and the person who is most likely to deal with the actual complaint.

Ensuring everyone in your firm is fully aware of the regulatory responsibilities in this regard will help to protect your firm, and ensure the best possible service for your clients.

The price of this course is £50 + VAT.


Completion requirements

The whole course requires completing, along with the end of course assessment. This has a minimum pass mark of 70% to be achieved in order to successfully pass the course.

Upon completion of this course, you will be recognised as having completed the Complaints certificate from The Art of Finance.


In addition, all of our content has been CPD Certified, meaning that all your time and investment is nationally recognised. Upon completion of your course, you’ll be sent your Art of Finance kitemark and CPD certificate to acknowledge your successful skills training and evidence for your firm’s compliance.

£50 + VAT




30 minutes



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