Compliance Complaint Tracking
Every financial institution must comply with governmental regulatory requirements. Customer complaints are often associated with suspected violation of these regulatory requirements, so the investigation, impact and resolution of these complaints must be documented and stored for up to 15 years after the complaint has been filed. Existing compliance software applications in the market won't fit the specific requirements and processes required by the financial institutions and lack comprehensive capabilities and adaptability, leading to a poor and frustrating user experience.
The Compliance Complaint Tracking application is a lightweight, end-to-end complaint handling system that is fully customizable to the financial institutions’ processes, which is key because no two banks manage and track complaints in the same way.
Key features of this application:
- Manage complaints from different channels such as a self service portal, social media channels, external sources like Zendesk, Allegiance, JIRA, or the CFPB Consumer Complaints Database
- Smart ‘tagging’ functionality based on keywords so complaints are assigned to the correct departments to be resolved
- The application offers multiple user interfaces for Customers and Back Office teams like compliance team members and department members
- Intelligence and flexibility of Mendix Workflow, offering dynamic workflows to route the complaint through multiple paths, like ‘action needed’, ‘known complaint’, et cetera. These workflows can be modified easily to match the institution's resolution processes
- After a complaint has been resolved, the application uses Mendix Email Service (a Premium App Service) to update the customer on the complaint resolution
- Logging of actions taken and PDF reporting for auditing purposes
Want to learn more about the Compliance Complaint Tracking application? Check out the solutions page: https://www.mendix.com/solutions/compliance-complaint-tracker/
The Compliance Complaint Tracking application allows financial institutions to keep track of customer complaints. The application helps to eliminate email and spreadsheets from your customer complaint tracking process and makes sure you are prepared for future audits by easily accessing complaint resolution records.
This single portal for managing customer complaints will allow the company to move to a modern app and away from chaotic spreadsheets and email. Enhance compliance with government regulations with this template that reduces the burden on your teams to manage the lifecycle of each customer complaint. Responding to audit inquiries is made easy with customer complaint reports that can be produced rapidly to demonstrate record of assessing and resolving customer complaints in a timely manner.
- Manage master data and email templates
Customer Engagement Manager:
- Create complaint records
- Inform customers
- Review and process complaints for which they are the department lead
- View complaints for their department
- Edit the details for those complaints and add notes
Compliance Team Member:
- Reassign rejected complaints
- Export complaints for auditing purposes
- Create a simple complaint
- View their complaints
How to set up Compliance Complaints Tracker
- Open the app in Mendix Studio Pro 9.18.0 or later
- The accounts will be setup for the default language English (US). When logging in as an admin, you have the option to select a language for your app accounts. The language setting will be changed for all accounts after you save the settings.
- Configure the constants for the email connector: EmailConnector.EmailAccount_Username, EmailConnector.EmailAccount_Password and EmailConnector.EmailAccount_FromAddress
- Configure the encryption key: Encryption.EncryptionKey (the length of this key must be 32 characters)
- Run your project in Mendix Studio Pro
Master data and demo data will be generated in the after-startup flow. If you want to reset the demo data then login as an MxAdmin, click on the demo data link on the dashboard and then click on Reset Demo Data.
If you want to remove the demo data functionality from your project, please take the following steps:
- Delete the module DemoData_JSON
- Delete the DemoData related pages and microflows in the Complaint module
- Remove the link to DemoData_Overview from the Admin dashboard and Functional Admin dashboard
- Replace NAV_Homepage_Functional by directly navigating the Functional Admin to the Functional Admin dashboard in the navigation
- Update security
- Replace or remove the after start-up microflow
Searching the CCD database is always done for the same company name for demo purposes. You'll need to change this logic to search for your own company name.
A list of demo users is generated as part of the demo data functionality. You can locally use the demo user switcher to switch between those users:
- email@example.com (Customer Engagement Manager)
- demo_administrator (Administrator)
- firstname.lastname@example.org (Functional Admin)
- email@example.com (Compliance Team Member)
- firstname.lastname@example.org (Customer)
- email@example.com (Team Lead)
The Domain Model
The main modules of the Compliance Complaint Tracking application have information provided in the documentation of the entities and the attributes to explain what they are used for. You can also export this documentation using the Export Documentation functionality in Mendix Studio Pro.