Financial Services Complaint Management workflow example

  • Release version: Zurich
  • Updated July 31, 2025
  • 2 minutes to read
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    Summary of Financial Services Complaint Management workflow example

    The Financial Services Complaint Management application provides an automated workflow designed to streamline the intake, routing, and resolution of complaint service requests within financial institutions. It supports both business and personal complaint cases by directing tasks to the appropriate departments such as complaint handling, quality control, business units, and legal teams. This workflow is built using Process Automation Designer and Flow Designer and is customizable to fit your organization's specific business needs.

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    How the Workflow Operates

    • Complaint Intake: Customers or branch workers submit complaint requests through the Consumer Service Portal (which requires activation of the Consumer Service Portal plugin). A case is automatically created upon submission.
    • Case Management: Complaint agents access cases via the CSM Configurable Workspace, utilizing a case playbook that guides them step-by-step through complaint resolution.
    • Task Routing and Collaboration: Based on case details, the workflow automatically routes tasks to back-office teams using assignment rules. Agents can request additional information from business unit complaint agents, triggering BU complaint tasks.
    • Specialized Tasks: If legal or regulatory impacts are identified, the workflow generates tasks for legal complaint agents and quality control agents respectively to review and respond appropriately.
    • Customer Response and Closure: The complaint agent communicates the response back to the customer, who can accept or reject it via the portal. Upon acceptance, the agent documents learnings and closes the case, setting its state to Closed Complete.

    Key Benefits for ServiceNow Customers

    • Automated Case Routing: Ensures complaints are efficiently assigned to the right teams, reducing manual intervention and speeding up resolution times.
    • Structured Resolution Process: The case playbook provides a standardized approach, helping agents follow consistent steps and maintain compliance.
    • Enhanced Collaboration: Supports cross-departmental coordination by automatically generating and routing tasks to business units, legal, and quality control teams as needed.
    • Customer Engagement: Integration with the Consumer Service Portal allows customers to submit complaints easily and track the status of their cases, improving transparency and satisfaction.
    • Customizable Workflow: Administrators can tailor the predefined workflow to align with organizational policies and requirements using Process Automation Designer and Flow Designer.

    The Financial Services Complaint Management application installs an automated workflow for complaint servicing. This workflow enables intake of complaints and routing of cases and tasks to different departments, including the complaint, quality control, and business unit specific agents. The workflow applies to both business and personal complaint service requests.

    The following diagram shows how the application helps bank agents resolve a complaint request.
    Figure 1. Complaint management workflow
    Workflow that shows how a complaint request is resolved using the Complaint management application. For the text description, refer to the workflow steps that follow.
    Note:
    This workflow is built using Process Automation Designer and Flow Designer. The complaint admin can review and customize this predefined flow based on the business needs of your organization.

    The following workflow routes the case and tasks for a complaint request to agents in different departments. The agents log in to CSM Configurable Workspace to work on the case and tasks in their queue. The case playbook guides agents through the steps that are needed to resolve customer complaints.

    As a customer or branch worker
    A customer (consumer or contact) or a branch worker submits a complaint service request on behalf of a customer.
    Note:
    Consumers can submit a request through the Consumer Service Portal. You must have the Consumer Service Portal plugin (com.glide.service-portal.consumer-portal) activated before your consumers can submit a request.

    A case is initiated based on the request.

    As back-office agents
    After the case is initiated and a complaint agent starts updating the case details using the case playbook, a workflow is triggered automatically. The assignment rules route the associated tasks to the appropriate back-office teams.
    1. In the case playbook, a complaint agent reviews the case details and adds additional details.
    2. If the complaint agent requires information from a business unit (BU) to resolve the case, the agent can request it from the BU complaint agent.

      The workflow generates a BU complaint task and a BU complaint agent works on it to provide a response.

    3. If the complaint agent identifies the case as having a legal impact, the workflow generates a legal complaint task.

      A legal complaint agent works on this task to provide a response for the case.

    4. If the case has a potential regulatory impact, a quality control approval is required.

      The workflow generates a quality control task and a quality control agent works on it to review the complaint details and agent's response for the case and approve it.

    5. The complaint agent sends out the response to the customer and gets an acceptance for it.
      Note:
      If there's a Customer or Consumer Service Portal for customers, they get a notification for the response on the portal from where they can choose to accept or reject the response.
    6. The complaint agent records the findings and learnings from the case and closes the complaint case.

    The state of the case is set to Closed Complete. The customer can also view the status of the case from the Customer or Consumer Service Portal or another self-service portal.