Auditing Customer Service and Complaints Processes

Introduction

Customer service and complaints handling directly affect customer loyalty, reputation and, in many sectors, regulatory compliance. Complaints are also a valuable source of information about failing products, processes and controls. Yet these areas are often audited less often than financial processes, leaving significant risks and opportunities unexamined.

This Auditing Customer Service and Complaints Processes training course gives auditors a structured approach to reviewing how organisations serve customers and resolve their complaints. Participants learn how to assess service standards, channels and performance measures, evaluate complaints recording, investigation, resolution and redress, and test fair treatment of customers.

The course also shows how complaint data and customer feedback can be analysed to identify root causes and systemic issues that management should address.

Course Objectives

By the end of this training course, participants will be able to:

• Explain the risks and value associated with customer service and complaints
• Plan a risk-based audit of customer service processes
• Assess service standards, channels and performance measures
• Audit complaint recording, categorisation and handling
• Test the fairness and consistency of complaint outcomes and redress
• Evaluate regulatory compliance in complaints handling
• Analyse complaint data to identify root causes and trends
• Report findings that improve customer outcomes

Target Audience

This training course is suitable for a wide range of professionals, including:

• Internal auditors and audit managers
• Customer service and contact centre managers
• Complaints handling managers
• Compliance and conduct risk professionals
• Quality assurance staff
• Regulatory affairs professionals

Training Methodology

The course uses sample complaint files, call recordings transcripts, service reports and data sets. Participants map customer journeys, test complaint files against standards, analyse complaint trends and draft findings. Case studies show how complaint insight has revealed serious control failures.

Target Competencies

• Customer journey mapping
• Service performance evaluation
• Complaint file testing
• Fair treatment assessment
• Complaint data analysis
• Customer outcome reporting

Day One: Customer Service Risks and Audit Planning

• Why customer service and complaints matter to governance
• Conduct, reputational and regulatory risks
• Customer service strategies, standards and charters
• Mapping customer journeys and service channels
• Risk assessment and scoping of the audit
• Data sources and evidence for service audits
• Exercise: mapping a customer journey and its risks

Day Two: Service Standards and Performance

• Setting and measuring service level standards
• Contact centre measures and their limitations
• Quality monitoring and call evaluation processes
• Customer satisfaction and effort measurement
• Digital and self-service channel controls
• Staff training, scripts and empowerment
• Exercise: evaluating a service performance report

Day Three: Complaints Handling Processes

• Defining and recognising complaints in every channel
• Recording and categorising complaints accurately
• Investigation standards and timeliness
• Resolution, redress and communication with customers
• Escalation and internal review stages
• External ombudsman and regulator referrals
• Exercise: testing a sample of complaint files

Day Four: Fair Treatment and Compliance

• Consistency of outcomes across similar complaints
• Treatment of vulnerable customers
• Regulatory requirements for complaints in overview
• Recordkeeping and reporting obligations
• Oversight of outsourced customer service providers
• Management information and governance of complaints
• Case study: systemic unfair treatment uncovered by audit

Day Five: Complaint Insight and Reporting

• Analysing complaint trends and themes
• Root cause analysis of recurring complaints
• Linking complaints to product and process improvements
• Feeding insight into risk and control frameworks
• Writing audit findings focused on customer outcomes
• Following up management actions
• Personal action plan for auditing customer service