Complaint Management for Financial Services
Effortless Complaint Management, Enhanced Compliance
Ensure regulatory compliance and streamline complaint tracking with Red Oak’s centralized, intuitive platform for complaint management in the financial services industry.
Proof Point Band
- 24/7 Support
- <1 Hour Average Help Ticket Resolution
- >99.9% Uptime
- Continuous Enhancements with Zero Downtime
Benefits Band
Why Choose Red Oak for Complaint Management?
All Complaints in One Place
Efficiently manage, track, and resolve complaints from a single cloud-based platform—minimizing human error and ensuring regulatory compliance.
Access from Anywhere
Your team can submit and manage complaints anytime, from any device, with everything securely stored in one centralized location.
Save Time Filing with FINRA
Direct integration with FINRA allows you to submit complaints electronically, saving up to 30 minutes per filing—boosting productivity and reducing manual effort.
Regulatory Compliance Assured
Stay compliant with FINRA Rule 4530(a) using our 100% books and records-compliant system, designed to meet stringent regulatory standards.
Proof Point Band 2
- Trusted by 1,800+ Firms Globally
- Partner to Over Half of the Top 20 Asset Managers
- 84 NPS Score—Setting the Standard for Client Satisfaction
Tracking Band
Track and Analyze What Matters Most
What you can monitor with Red Oak:
- Complaints by type, volume, and status
- Employee training, fines levied, and compliance metrics
- Turnaround time/efficiency for complaint reviews
- Complaint trends by type, product, and client
- And More
Integrations Band
Seamless Integration with FINRA and Your Systems
Red Oak integrates directly with FINRA, enabling electronic submissions and saving up to 30 minutes per filing. Additionally, our Submission Management API allows for smooth integration with your current systems, reducing the manual data entry burden and simplifying your workflows.
Conclusion Band
Streamline Your Complaint Management Today
See how Red Oak can make your complaint management more efficient and compliant. Talk to an expert and start saving time while reducing regulatory risk.
Download Document
Company
Consulting Services
Copyright © 2010 - 2024 Red Oak Compliance Solutions. All Rights Reserved.