Financial Services Complaint Management workflow example

  • Release version: Australia
  • Updated March 12, 2026
  • 2 minutes to read
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    Summary of Financial Services Complaint Management workflow example

    The Financial Services Complaint Management application in ServiceNow provides an automated workflow designed to streamline the intake, routing, and resolution of complaint service requests within financial institutions. This workflow supports both business and personal complaints and integrates multiple departments such as complaint handling, quality control, and legal teams, ensuring comprehensive complaint servicing.

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    Built using Process Automation Designer and Flow Designer, the workflow is customizable by complaint administrators to align with specific organizational needs.

    Workflow Process for Agents and Customers

    • Complaint Intake: Customers or branch workers submit complaint requests via the Consumer Service Portal (requires activation of the Consumer Service Portal plugin). This submission initiates a case in the system.
    • Case Handling by Back-Office Agents: Complaint agents access cases through the CSM Configurable Workspace, guided by a case playbook to update and manage complaint details.
    • Task Routing: Based on complaint details, assignment rules automatically route tasks to appropriate back-office teams including business unit complaint agents, legal agents, and quality control agents.
    • Specialized Tasks:
      • Business Unit (BU) complaint tasks are generated if additional input from specific business units is required.
      • Legal complaint tasks are created for cases with potential legal impact.
      • Quality control tasks are triggered when regulatory review is necessary, ensuring compliance and approval.
    • Customer Response and Case Closure: Complaint agents communicate responses to customers, who can accept or reject them via the Customer or Consumer Service Portal. Accepted responses allow the case to proceed towards closure, while rejections cycle the case back for further action.
    • Finalization: Agents document findings and lessons learned before setting the case state to Closed Complete. Customers can monitor case status through self-service portals.

    Key Benefits for ServiceNow Customers

    • Automated and Transparent Complaint Routing: Efficiently directs complaint cases and tasks to the right teams, reducing manual intervention and delays.
    • Multi-Department Collaboration: Supports coordinated resolution involving business units, legal, and quality control, enhancing thoroughness and compliance.
    • Customer Engagement: Enables customers to submit complaints and track their status easily through portals, improving customer satisfaction.
    • Configurable Workflow: Allows administrators to tailor the complaint management flow to meet unique organizational 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. If the customer accepts the response, the workflow advances to step 6 otherwise it goes back to the complaint agent.
      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.