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Complaint Management


Manage Complaints. Stay Compliant.

Red Oak’s technology includes powerful solutions for effective complaint management, data tracking, and analysis for both the financial services and insurance industries.

Minimize the potential impact of complaints on your firm.

What are you doing to ensure accurate tracking and reporting of customer complaints? Current regulations require firms to report complaint handling quarterly and maintain records for several years. Red Oak’s complaint management software suite includes complaint tracking management to track, maintain, resolve, and report critical complaint information.

Capture, manage and track complaints – all in one place.

complaint management solutions

    • Single cloud-based repository for all complaints
    • Submit and manage complaints from anywhere in your organization, from any device
    • No need to track on spreadsheets or in duplicate systems
    • Provides consistent and reliable processes for tracking and managing customer complaints
    • Automated reminder notifications ensure you don’t miss critical deadlines
    • Direct FINRA integration facilitates electronic reporting, reduces duplicate data entry
    • Submission Management API integrates with existing complaint management systems to reduce data entry workload
    • 100% books and records compliant and adheres to FINRA rule 4530(a)

Utilize complaint-related data to remain compliant and improve processes.

    • Track complaints by type, volume, and status
    • Track training delivered to employees, fines levied, etc.
    • Track turnaround time/efficiency for complaint reviews
    • Identify trends based on complaint details (including complaint type, product, or reporting client)

Leverage Red Oak’s complaint management software suite to build efficient, timely processes and handle critical customer complaints effectively.

Are you ready for smarter compliance solutions?

Contact us today.
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