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Using complaints handling insight to enhance conduct risk assessment
Journal of Financial Compliance,
1
(4),
294-300
(2018)
Abstract
Complaints handling provides significant insight into the drivers of conduct risk. From a high level, the method by which complaints are handled in the round is an important cultural indicator of the value a firm places on a customer. Individual complaints are of high informational value in and of themselves, and can be joined to other data points to create powerful insight.
Keywords: conduct risk; complaints; culture; root cause analysis
The full article is available to subscribers to the journal.
Author's Biography
Sheraz Afzal is Director of Conduct Risk and Regulatory Affairs at Dollar UK, where he has responsibility for the oversight of the firm’s risk, compliance and regulatory relations. He has led significant programmes of work to transform the UK business in order to achieve authorisation by the Financial Conduct Authority (FCA). Prior to Dollar, Sheraz held a variety of senior roles at Welcome Financial Services (Cattles) where he was part of the team leading the largest consumer credit run-off in European financial services. Sheraz started his career with the Royal Bank of Scotland Group, undertaking a variety of roles through the bank’s graduate recruitment scheme. Sheraz graduated in law from the University of Edinburgh.
