Finance
Complaint files
The outcome of the complaint is the firm’s.
A complaint file is a timeline. It should exist from the first contact, not from the final response.
The workflow
Complaint files
- 01Open
The complaint is a case from the first contact.
- 02Attach
Correspondence is filed as it happens.
- 03Time
The deadline is visible on the case.
- 04Draft
The response is prepared against that file.
The outcome of the complaint is the firm’s.
The problem
Complaint files still depends on a queue.
Correspondence is spread across mailboxes. The deadline is tracked separately from the documents. The file is built at the end.
Current process
A search through mail the week the response is due.
Correspondence is spread across mailboxes. The deadline is tracked separately from the documents. The file is built at the end.
The solution
A recorded workflow, with people where the decision sits.
Handled in the workflow
Every inbound and outbound item is attached to the complaint. The response deadline is on the case. The draft response sits with the timeline.
- Open
- Attach
- Time
- Draft
Your team stays in control
The outcome of the complaint is the firm’s.
A timeline that has been building since day one.
How it works
From the queue to a recorded outcome.
Every inbound and outbound item is attached to the complaint. The response deadline is on the case. The draft response sits with the timeline.
01
Open
The complaint is a case from the first contact.
02
Attach
Correspondence is filed as it happens.
03
Time
The deadline is visible on the case.
04
Draft
The response is prepared against that file.
Without it
A search through mail the week the response is due.
With UYP Systems
A timeline that has been building since day one.
The outcome of the complaint is the firm’s.
Also in Finance
The rest of the range.
Client onboarding
Onboarding is a file that has to be complete. The delay is the chase for what is missing.
- Open
- Collect
- Test
- Hold or pass
Evidence collection
The evidence usually exists. The work is asking, filing and knowing what has not arrived.
- Name
- Ask
- File
- Show
Reconciliation exceptions
A reconciliation that matches needs no one. The work is the break.
- Compare
- Pass
- Queue
- Clear
Discuss Complaint files.
A complaint file is a timeline. It should exist from the first contact, not from the final response.