CASE STUDY

Global Wealth Manager: Regulator-Grade Complaint Handling on CSM

A global wealth-management firm rebuilt complaint handling on ServiceNow CSM with FCA / FINRA-aligned audit trails. Closure rate within regulatory windows: 100%.

May 9, 2026 · 2 min read · By admin

At a glance

Industry: BFSI
Topics: CSM · Servicenow
Published: May 2026
Headline outcome: 100% Closure within regulatory windows: 100%

Measured outcomes

What this programme actually delivered.

100%

Closure within regulatory windows: 100%

89%

Regulatory audit response time: down 89%

+18

Complainant satisfaction +18 NPS

14 jurisdictions on one workflow with jurisdiction-specific branches

The challenge

A global wealth manager with operations in 14 jurisdictions had distinct complaint-handling requirements per regulator (FCA, FINRA, MAS, etc.). The legacy email-based process was unauditable in any of them.

What we built

ServiceNow CSM with regulator-aware case workflows, audit-trail-as-data, and automated MI reporting. Each complaint is tagged at intake with applicable regulator(s); the workflow enforces the relevant regulatory clock and escalation rules.

Outcomes

Closure within regulatory windows: 100%
Regulatory audit response time: down 89%
Complainant satisfaction +18 NPS
14 jurisdictions on one workflow with jurisdiction-specific branches

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Global Wealth Manager: Regulator-Grade Complaint Handling on CSM

What this programme actually delivered.

The challenge

What we built

Outcomes

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