Job Aid: Your First Complaint in SES
This job aid serves as a guide for company complaints users to complete the set-up process for their company (“Company Enrollment”) and respond to a consumer complaint in the State Examination System (SES).
1. Agency Communicates with Company
When an agency has received a consumer complaint they wish to process in SES, they will first communicate with the company to inform the entity about the complaint and their intended use of SES.
2. Agency Initiates SES Company Enrollment
The SES Company Enrollment process was designed so that the agency creates the first user of the company as they likely know who is best suited to handle the complaint on behalf of the company.
3. Company Completes SES Company Enrollment
After the agency enrolls the appropriate individual, the company user is notified via email. The company notification provides the steps company users must take to access the system.
- How agencies initiate enrollment;
- How to ensure your information is captured in SES if your company is not regulated on NMLS;
- Information about Okta and how to set up your multi-factor authentication tool;
- A guided demonstration of all system pages completed during the enrollment process;
- Information on account management, including assigning contacts, user account creation, and roles;
- And, outstanding tasks – what to look for once you’ve completed enrollment!
4. SES Complaints Contact Assigns the Company POC
If you watched the video provided in the last step, you’ll know that the SES Complaint Contact is responsible for assigning a Company Point of Contact (POC) to each complaint received in SES. In turn, the Company POC oversees the complaint and is responsible for responding to the agency’s information request.
5. POC Responds to Information Request (IR)
As Company POC, they may assign other company users to assist with drafting responses. However, only the Company POC can submit a response to the agency. Responses can be saved in draft and can also be marked for restricted access so that only the Company POC and the agency can see the response. Once the response has been sent, your job is done until you receive an update from SES. The agency is automatically notified of the submission and the status is updated to ‘Sent’ in SES.
- On-screen text
- 4,000 characters limit
- Document uploadPlease note the following restrictions with regard to file uploads in SES. It is recommended to use a ZIP folder or File Sharing Links when uploading large files or more than 25 files at a time.
- File formats supported: SES will accept all file formats, but the following commonly supported file types are recommended: PDF, Word®, Excel®, CSV, ZIP
- Max file size: 1 GB
- For files larger than 1 GB1:
- Use ZIP compression to reduce file to less than 1 GB1
- Split the file into multiple smaller files
- Use File Sharing Links.
- Max no. characters per file name: 200
- Max no. files per upload: 25, for uploads larger than 25 total files:
- Upload first 25.
- Select the Save Draft option in Available Next
Actions then click the Save Draft button.Note: You may need to refresh the screen to see that the files have uploaded to the system.
- Return to the response screen to upload the next 25 files and repeat.
- Total no. files: unlimited
- External file sharing link
- For files that exceed 1GB
If additional information is needed, the agency can send the response back to the company for updates or create a new information request for your company to respond to in SES. Once the response(s) meets the needs of the agency, the agency will then close the complaint, triggering a closure notification to the company.
SES Company Resources
Be sure to check out the SES Quick Start Guide for Companies. If you have any additional questions, please contact the NMLS and SES Call Center by telephone (1-800-269-6189) for assistance.
Day of the Week | Full Access | Limited Access2 |
---|---|---|
All Times Eastern | ||
Monday through Friday | 9:00 AM – 6:00 PM | 6:00 PM – 9:00 AM |
Saturday & Sunday | All Day | |
New Year's Day Martin Luther King Jr. Day President's Day Memorial Day Juneteenth Independence Day Labor Day Thanksgiving Day Christmas Day. |
All Day |