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Complaint Acknowledgement and Resolution Tracker

Example prompt: "When a client emails us with a complaint, draft an acknowledgement letter the same day, log it on our complaints register with the regulatory clock started, and remind me at the agreed milestones. Draft the final response when we've resolved it, and flag anything in #compliance on Slack as we approach the deadline."

The Problem

A client emails on a Friday afternoon saying we mis-sold them a policy because the cyber exclusion was not explained at renewal. The compliance officer has a regulatory clock that started running at the moment the email landed — and another clock for the final response. The acknowledgement letter has specific content requirements; the register has specific data points; the file has to be retrievable on demand for the regulator. The cases that bite are the ones where the email got buried in someone else's inbox over the weekend, the acknowledgement went out a day late, and the broker now has a regulatory breach on top of the underlying complaint.

How GloriaMundo Solves It

We build a workflow that fires when a complaint-shaped email lands in the broker's inbox — either explicitly tagged 'complaint' or matching the language patterns the compliance officer trained the LLM on. An integration step reads the email and the client's policy file. An LLM step classifies the complaint type (mis-selling, claims handling, premium dispute, service) and the regulatory category, and drafts the acknowledgement letter referencing the broker's complaints procedure, the named complaints handler, and the expected response window. An integration step saves it as a Gmail draft, writes the complaint to the Complaints Register with the regulatory clock started, opens a per-complaint Drive folder, and schedules calendar reminders for the milestone checkpoints. A separate daily workflow scans the register, drafts holding letters as the response window approaches, and red-alerts in #compliance for anything inside the final 7 days without a draft final response. Glass Box preview shows the acknowledgement, the register entry, and the calendar holds before any of it leaves the office.

Example Workflow Steps

  1. Trigger (integration): A new email to the broker's general inbox, the complaints@ mailbox, or any email forwarded with the subject prefix 'COMPLAINT'.
  2. Step 1 (llm): Classify whether the email is a complaint — looks for explicit language ('I want to complain', 'this is unacceptable', 'I am formally complaining') and implicit signals (mis-selling allegations, claims handling grievances, premium disputes). If the classifier is uncertain, route to the compliance officer for manual review rather than drafting anything.
  3. Step 2 (integration + code): Look up the client on the Clients sheet, the policies they hold on the Policies sheet, and any open claims on the Claims Register. Allocate complaint_ref as 'COMP-[YYYY]-[6-digit sequence]'.
  4. Step 3 (code, gate): Dedupe on gmail_message_id against the 'Complaints Register' tab — a row already logged halts; otherwise write a provisional row with status 'Allocating' and started_at as the email's received timestamp.
  5. Step 4 (llm): Compose the acknowledgement letter — names the complaints handler, summarises the complaint in the client's own words, references the broker's complaints procedure (with link to the published version on the broker's website), states the expected response window, and confirms next steps.
  6. Step 5 (integration): Save the acknowledgement as a Gmail draft to the client. Persist gmail_draft_link to the provisional register row.
  7. Step 6 (integration): Create a per-complaint folder on Drive under 'Complaints/[year]/[complaint_ref]' and copy the original email, the policy schedule, and any referenced documents into it.
  8. Step 7 (integration): Place calendar holds for the compliance officer at the agreed milestone dates (typically the standard checkpoints in the broker's complaints procedure plus a final-response deadline).
  9. Step 8 (integration): Post a one-line entry in #compliance on Slack — complaint_ref, client, complaint_type, milestone dates — so the compliance officer sees the full register at a glance.
  10. Step 9 (scheduled, sub_agent): A separate daily workflow scans the Complaints Register — for any row inside its mid-window, draft a holding letter if no holding letter has been sent in the last fortnight; for any row inside its final-window with no final response drafted, post a red alert in #compliance tagging the complaints handler.

Integrations Used

  • Gmail — the complaints mailbox trigger, the acknowledgement draft, the holding letter drafts, the final response draft
  • Google Sheets — the Clients, Policies, Claims Register, and Complaints Register
  • Google Drive — the per-complaint folder structure under 'Complaints/[year]/[complaint_ref]'
  • Google Calendar — the milestone reminders and the final-response deadline
  • Slack — the #compliance register and the red alerts

Who This Is For

Regulated brokers, MGAs, and intermediary firms running a small compliance function — typically one part-time compliance officer covering several producers — where the volume of complaints is low enough that no dedicated team is justified, but high enough that one missed acknowledgement window costs more than the workflow does in a year.

Time & Cost Saved

A compliance officer juggling complaints by hand typically loses an hour per complaint on the acknowledgement, the register entry, the folder setup, and the calendar holds — and the daily scan against the response window is the first thing that slips on a busy week. This workflow turns the intake into a 15-minute review and puts the holding-letter and final-response prompts in front of the compliance officer at the right point in the cycle, so the regulatory breach risk that comes from a missed deadline drops materially. A single avoided regulatory referral pays for the platform many times over.