Full Service FE
Quest CE’s complete Firm Element Express solution provides broker-dealers with the ability to self-manage their entire training and tracking program. Additionally, Quest CE offers a client-managed Firm Element option for firms that prefer the assistance of an account executive throughout their program’s entire lifecycle. To discuss the benefits of a client-managed account, please contact Quest CE at 877.593.3366 or sales@questce.com.
What is Full Service?
Quest CE’s Full Service Firm Element Program offers all of the training and tracking options that our FE Express Program has, with the added option for complete program customization of your company’s branded web training portal. From day one, your personal Quest CE account manager will work directly with you in all aspects of your Firm Element Program, from launching and managing your program, to running supervisory reports. Our staff can help you to determine your firm’s needs and recommend services to help meet your compliance requirements. In addition, our system solutions are modifiable, allowing you create the most effective training program.
Firm Element Training Service Options
With over 450 industry-authored firm element courses available, firms can develop and administer a training program geared specifically to their representative’s training needs. Moreover, our account executives can help you determine specifically which topics and how many courses are recommended to satisfy your rep’s annual requirements.
Annual Compliance Meeting
Quest CE’s Learning Management System, Renaissance, enables firms to hold pre-recorded compliance meetings online, without the costly time and travel expenses associated with live meetings. We offer over 45 self-paced learning modules, which include automated email notifications, an interactive meeting environment, real-time access with mobile ready technology, detailed completion reports for managers, time-stamped activities, and an attendance attestation at the end of every meeting. Quest CE can also author custom ACM’s specifically for your firm.
Annual Compliance Questionnaire
For firms that prefer using their own custom Annual Compliance Questionnaire in place of our stock ACQ, take advantage of our Full Service Firm Element Program. Here, your ACQ can be customized to your firm's individual needs and dialogue, allowing you to probe for additional compliance disclosures that may be specific to your firm’s internal procedures.
Annual Tracking
Tracking your representatives’ Outside Business Activities, Gifts and Entertainment, Political Contributions, Securities Transactions and Activity Logs in one easy-to-manage location is made possible using Quest CE’s Annual Tracking platform. Featuring Quest CE’s Full Service Firm Element Program, compliance administrators can customize tracking solutions, and set specific alert flags on disclosures that require immediate attention. In addition, our account executive team can setup each solution for either a single or multi-tiered approval system, which allows your firm to streamline internal processing by reviewing items at managerial levels.
Needs Analysis Survey
As part of FINRA’s Firm Element training requirement, each firm is required to annually complete a Needs Analysis to establish training priorities and develop a written training plan. Quest CE’s Needs Analysis Survey features an assessment process that serves as a diagnostic tool for determining what training needs to take place within the organization. Once all representatives have completed the survey, a summarized report of the responses and analysis of your firm’s needs is instantly accessible within our system. Launch and track responses with the assistance of our account executive team, or have our internal IT staff create a custom survey for your firm.
Branch Audit Tool
Our Branch Audit Tool allows your firm to comply with Rule 3010(c), which requires broker-dealers to perform branch office inspections every one to three years. Our online application will allow your firm to identify regulatory rule violations, recognize areas in need of improvement, and develop a corrective action plan. Let our account executive team help you manage the process and maintain compliance with FINRA rules.
To take advantage of our customized solutions, please contact us today at 877.593.3366 or email us at sales@questce.com.