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Complaints Handling training

Five microlessons on handling complaints in financial services under the FCA DISP rules: from receipt to final response, recording, vulnerable customers and the Financial Ombudsman Service, with situational tests and a certificate of completion.

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Complaints Handling (UK) course preview
5Short, TikTok-style microlessonsIn the browser or the iOS and Android apps

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  • 2Assessments
  • 5Microlessons
  • IncludedCertificate of completion
About this course

What the Complaints Handling course covers

This course covers complaints handling in financial services in five microlessons. It explains what counts as a complaint under the FCA's DISP rules, the step-by-step procedure from receipt to final response, how to assess complaints fairly and record them properly, and the etiquette that turns a complaint into a chance to rebuild trust. It also covers vulnerable customers, mis-selling complaints and when customers can refer a complaint to the Financial Ombudsman Service.

Learning outcomes

What your people will be able to do

  • Recognize a complaint under the FCA's DISP definition, whatever the channel
  • Follow the four-step procedure: acknowledge, investigate, resolve or escalate, and respond
  • Assess complaints with impartiality, timeliness and transparency
  • Record complaints, redress and outcomes so they stand up to scrutiny
  • Adapt your approach for vulnerable customers and mis-selling complaints
  • Explain final response obligations and Financial Ombudsman Service referral rights
Course contents

5 microlessons

Each microlesson is a short, TikTok-style video lesson, with knowledge checks along the way.

1Complaints Handling and Why It Matters
2Receiving Complaints and How to Handle Them
3Assessing, Responding and Recording Complaints
4Etiquette and Best Practice in Handling Complaints
5The Role of the Financial Ombudsman Service (FOS)

  1. Complaints Handling and Why It Matters: The DISP definition of a complaint and why it matters.
  2. Receiving Complaints and How to Handle Them: The four-step procedure from receipt to final response.
  3. Assessing, Responding and Recording Complaints: Fair assessment, redress and complete records.
  4. Etiquette and Best Practice in Handling Complaints: Listening, empathy, vulnerable customers and mis-selling.
  5. The Role of the Financial Ombudsman Service (FOS): When customers can go to the FOS and the time limits.
A 5Mins certificate of completion for Complaints Handling (UK), lying on a desk next to a laptop
Certificate

A certificate for every learner who completes it

Learners finish every microlesson and pass the assessments with a score of 50% or more. 5Mins then issues a certificate of completion for Complaints Handling (UK).

  • Certificates and e-signatures stored against each learner
  • Audit-ready records, ready whenever an auditor asks
  • Completion shows on the Compliance Dashboard in real time
Audience and regulation

Who it's for and the law it covers

Who it's for

  • Customer service and complaints teams at FCA-regulated firms
  • Advisers, relationship managers and frontline staff
  • Team leaders who sign off final responses
  • Compliance and quality assurance teams

Laws covered

  • FCA Dispute Resolution: Complaints sourcebook (DISP). Sets how firms must identify, handle, record and report complaints, including a final response within eight weeks (DISP 1.6) and the customer's right to refer the complaint to the Financial Ombudsman Service, usually within six months of the final response.
  • FG21/1, the FCA guidance on the fair treatment of vulnerable customers. Applies to how complaints from customers in vulnerable circumstances are handled.
How it runs in 5Mins

Assign it once, then let 5Mins do the chasing

Every course in the 5Mins library runs on the same zero-admin engine.

  • EnrollAuto-enroll

    Enroll people automatically from your HR system, with 100+ HRIS platforms supported.

  • RemindReminders

    Nudges by email, Slack, Microsoft Teams and push until the course is done.

  • RepeatRecurrence

    Set the course to repeat, for example every 12 months, and 5Mins re-enrolls people for you.

  • CertifyCertificates

    Certificates and e-signatures are issued and stored for every completion.

  • ProveAudit-ready records

    See who is complete, at risk or overdue on the Compliance Dashboard, and prove it any time.

Customer stories

Compliance teams that swapped chasing for results

Compliance, HR and L&D leaders on what changed when they moved their training to 5Mins. Pick a team to see what changed.

ComplianceCompliance Training Insurance, 205 colleagues 100%

compliance completion and pass rate since go-live

  • ~1 day saved on each compliance course (HR estimate)
  • Automated reminders and reporting

Since go-live, our compliance completion and pass rates are 100%, and it's the quickest we've ever got there. Automated reminders and reporting save us about a day per course.

Laura ChappellLaura ChappellHR Director, Collingwood
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ComplianceCompliance Training Insurance and emergency accommodation 87%

less session time, from 2.5-3 hour sessions to modules of 25 minutes at most

  • 12 monthly sessions a year, up from 3-4
  • 95% content creation time saved

Our compliance sessions used to be two and a half to three hours in a room, and we could fit in three or four a year. Now we cover one topic a month, and I can see exactly what people are retaining.

Lucy WybornLucy WybornDirector of Learning and Development, ICAB
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ComplianceCompliance Training Legal services 80%

completion on mandatory training, up from 20%

  • Mobile microlessons finished between calls
  • Manager view of each team's progress

We were sitting at 20% completion on our mandatory training. We're now at 80%. People finish short lessons between calls, on mobile, and managers can see where their teams are, so chasing completion is no longer a one-person job.

Jamie WaltonJamie WaltonGroup Learning and Development Officer, Winn Solicitors
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ComplianceCompliance Training Fintech and digital banking On demand

training log showing who did what, when, and the pass rate

  • Any device phone or laptop, at their own pace
  • Rolling refreshers through the year

When I engage with the FCA, I can show that every team has had training tailored to their role, that it's up to date, and that it runs throughout the year, with a full log of who's done what.

Abdul GofurAbdul GofurHead of Compliance & Anti-Financial Crime, nsave
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Free course catalogues

Take the catalogues with you

Free PDF catalogues to share with your compliance lead, your managers or your board.

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Financial services

Global Financial Compliance Catalogue

Specialized compliance training for financial services teams working across borders, covering AML, risk management, customer due diligence and international regulations.

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UK compliance

UK Compliance Catalogue

Built for UK organizations, covering GDPR, RIDDOR, Martyn's Law, employment law and the regulations your team needs day to day.

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Compliance

Global Compliance Catalogue

Stay compliant across every market you operate in, with regulatory training covering GDPR, data protection, workplace safety and more.

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Your questions answered

Questions about Complaints Handling training

How long is the Complaints Handling course?

It's made up of 5 microlessons, each under 5 minutes, so most people finish it in one sitting.

Is there a certificate?

Yes. Learners get a certificate of completion once they finish every microlesson and pass the situational tests. The pass mark is 50%, and the record is stored in 5Mins for audits.

What counts as a complaint under DISP?

Any oral or written expression of dissatisfaction about a financial service, whether justified or not, that alleges the customer has suffered or may suffer loss, distress or inconvenience. The first microlesson explains the definition.

How long does a firm have to respond?

Under DISP, firms must usually send a final response within eight weeks. If the customer is unhappy with it, or the firm misses the deadline, they can refer the complaint to the Financial Ombudsman Service. The last microlesson covers the time limits.

Who should take this course?

Anyone who may receive a complaint, which at most firms means every customer-facing role, plus the people who investigate, approve and report on complaints.

Can I try the course first?

Yes. Request a free sample lesson and book a short demo with our team. After your demo, we'll share sample lessons with you so you can see the format for yourself.

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