Financial Services Complaint Management workflow example

  • Release version: Yokohama
  • Updated January 30, 2025
  • 2 minutes to read
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    Summary of Financial Services Complaint Management Workflow Example

    The Financial Services Complaint Management application automates the workflow for handling complaints, allowing for efficient intake and routing of cases to various departments such as complaints, quality control, and specific business units. This system supports both business and personal complaint service requests and is built using Process Automation Designer and Flow Designer.

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    Key Features

    • Automated Workflow: Streamlines the process for complaint servicing, ensuring efficient task and case management.
    • Customizable Flow: Complaint administrators can tailor the predefined workflow to meet specific organizational needs.
    • Case Playbook: Guides agents through the necessary steps to resolve customer complaints.
    • Multi-department Routing: Automatically assigns tasks to appropriate back-office teams based on established rules.
    • Consumer Service Portal: Allows customers to submit complaints directly, provided the portal plugin is activated.

    Key Outcomes

    The workflow enables agents to effectively manage complaints from initiation to resolution. After a complaint is submitted, the case is initiated, and tasks are routed to the appropriate agents. The system ensures that all necessary information is gathered, and if legal or regulatory considerations arise, relevant agents are engaged to address these aspects. Ultimately, the complaint agent communicates the resolution to the customer and records findings before closing the case, which can be tracked by the customer via the service portal.

    The Financial Services Complaint Management application installs an automated workflow for complaint servicing. This workflow enables intake of complaints and routing of cases and tasks to different departments, including the complaint, quality control, and business unit specific agents. The workflow applies to both business and personal complaint service requests.

    The following diagram shows how the application helps bank agents resolve a complaint request.
    Figure 1. Complaint management workflow
    Workflow that shows how a complaint request is resolved using the Complaint management application. For the text description, refer to the workflow steps that follow.
    Note:
    This workflow is built using Process Automation Designer and Flow Designer. The complaint admin can review and customize this predefined flow based on the business needs of your organization.

    The following workflow routes the case and tasks for a complaint request to agents in different departments. The agents log in to CSM Configurable Workspace to work on the case and tasks in their queue. The case playbook guides agents through the steps that are needed to resolve customer complaints.

    As a customer or branch worker
    A customer (consumer or contact) or a branch worker submits a complaint service request on behalf of a customer.
    Note:
    Consumers can submit a request through the Consumer Service Portal. You must have the Consumer Service Portal plugin (com.glide.service-portal.consumer-portal) activated before your consumers can submit a request.

    A case is initiated based on the request.

    As back-office agents
    After the case is initiated and a complaint agent starts updating the case details using the case playbook, a workflow is triggered automatically. The assignment rules route the associated tasks to the appropriate back-office teams.
    1. In the case playbook, a complaint agent reviews the case details and adds additional details.
    2. If the complaint agent requires information from a business unit (BU) to resolve the case, the agent can request it from the BU complaint agent.

      The workflow generates a BU complaint task and a BU complaint agent works on it to provide a response.

    3. If the complaint agent identifies the case as having a legal impact, the workflow generates a legal complaint task.

      A legal complaint agent works on this task to provide a response for the case.

    4. If the case has a potential regulatory impact, a quality control approval is required.

      The workflow generates a quality control task and a quality control agent works on it to review the complaint details and agent's response for the case and approve it.

    5. The complaint agent sends out the response to the customer and gets an acceptance for it.
      Note:
      If there's a Customer or Consumer Service Portal for customers, they get a notification for the response on the portal from where they can choose to accept or reject the response.
    6. The complaint agent records the findings and learnings from the case and closes the complaint case.

    The state of the case is set to Closed Complete. The customer can also view the status of the case from the Customer or Consumer Service Portal or another self-service portal.