Overview

RegEd Complaint Management is an enterprise SaaS solution that systematically captures, triages and tracks complaints reported to a firm or regulators, centralizes case data in a single repository, enforces workflow-driven remediation and provides reporting and audit trails to demonstrate regulatory compliance. The product integrates with RegEd’s broader compliance suite to align complaint handling with policy, training and examination workflows.

Features and Capabilities

• Tracking: Systematically capture complaints from multiple channels (internal, customer, regulator) and maintain a complete case record including source, category, and timestamps.
• Central repository: Single, auditable storage for complaint records, attachments, investigation notes and remediation actions.
• Workflow & Remediation: Automated, role-based workflows to assign investigations, escalate overdue items, generate remediation tasks and track corrective actions to closure.
• Reporting & Dashboards: Operational and managerial reporting (status, aging, SLA breaches) with hierarchical views across business units and regulatory deadlines.
• Audit Trail & Compliance: Detailed audit logs, versioning and retention controls to support regulatory examinations and evidence requests.
• Integration: Connects with other RegEd compliance modules (policies, training, exam management) and third-party systems for data reuse and consolidated oversight.
• Risk Scoring / Prioritization: Ability to apply risk or severity scoring to complaints to prioritize investigative resources and reporting.
• Notifications & Alerts: Deadline notifications, SLA alerts and escalation rules to ensure timely resolution and supervisor visibility.
• Search & Export: Advanced search, filters and export capabilities for management reporting, regulators and internal analysis.