Model policy · version 1
Complaint Management
Capture every complaint in one register, resolve it on a clock that matches its severity, and keep the sponsor bank informed. Complaints are the component of a compliance program that catches what policies, training, and testing miss.
What’s in this policy16 sections · Complaint Management · Read the full policy
9Obligations · things you must do
16Evidence · records that prove it
2Monitoring · checks and deadlines
1Reporting · reports you must send
Does this apply to you?
Answer a few questions and each obligation is marked applies, likely, or needs more information.
Tell Leela about your companyHand over the whole policy
Every obligation in this policy, in one request.
What the policy requires
Automate
Leela can perform the work through your connected systems.
Monitor
Leela can watch for the trigger, keep the clock, and flag what is late.
Prepare for review
Leela can prepare the artifact and hand it to a person for review.
Human required
A person must do the work; Leela can track it and file the evidence.
TriggerContinuous · Each complaint, logged within 1 business day of receipt
EvidenceComplaint register, Intake forwarding record
TriggerEvent-driven · Per complaint; clocks start at intake and run in business days
EvidenceAcknowledgment record, Investigation notes, Final response
TriggerEvent-driven · On receipt of an adverse regulatory communication; 5 business days, sooner if material
EvidenceWritten notice to the sponsor bank, Sponsor bank approval of the response
TriggerEvent-driven · On receipt by senior management; 2 business days
EvidenceWritten notice to the sponsor bank, Bank review record
TriggerWeekly · At least once a week
EvidenceWeekly sweep log
TriggerMonthly · Each month, and on any Critical or High complaint
EvidenceMonthly trend analysis, Root cause analysis
TriggerMonthly · By the tenth of the following month, in the bank’s form
EvidenceMonthly complaint summary, Transmittal record
TriggerContinuous · From closure of each complaint; seven years
EvidenceRetention schedule entry, Retrieval test
TriggerAnnual · Each year, with the compliance management system review
EvidenceAnnual program review