Mortgage Lending · Compliance & Regulatory
Complaint handling procedures
A written procedure telling mortgage staff how to receive, log, investigate, and respond to borrower complaints within required timeframes.
What it usually contains
- Definition of what counts as a complaint and how it differs from a routine service request
- Intake channels and steps for logging complaints in a central register
- Routing, ownership, and escalation rules by complaint type and severity
- Response and resolution deadlines, including regulatory timelines for written notices of error
- Root cause review, recordkeeping, and reporting of complaint trends to management or the board
What the assistant uses it for
Answer questions about who handles a borrower complaint, how quickly it must be acknowledged and resolved, and what must be documented. Also useful for showing examiners how complaints are tracked, escalated, and used to fix recurring problems.
How it is versioned
A document of this type has exactly one current version at a time. Upload a revision and it becomes the version that counts — the one before it is kept and dated, but is no longer what your assistant answers from. Nothing is ever deleted, so you can always show what this document said on a given date.
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