Quest CE’s Annual Tracking platform houses a variety of tracking and monitoring services for representatives Outside Business Activities, Gifts, Entertainment, Political Contributions and Securities Transactions. Each tracking solution can be set for either a single or a multi-tiered approval hierarchy system, and allow for real-time status updates and reporting.
Quest CE’s tiered approval system provides firms with the option of assigning representatives to an individual supervisor in order to streamline workflow and alleviate regulatory compliance risk. Quest CE’s online-based system features instantaneous alerts that inform supervisors when a representative makes any modifications to their materials. Once a change is made, supervisors will be alerted immediately to ensure activities are promptly reviewed and possible conflicts of interests are mitigated. Once a supervisor approves the activity or modification, an automated message is sent to both the representative and compliance department to await final approval. If activities are unapproved, supervisors and users will be alerted to the activities denial, and/or request for additional information.
Quest CE’s Annual Tracking platform also features an automated audit trail, which dictates accountability. All activity transactions are time-stamped and dated to ensure compliance best practice and due diligence. Customizable questionnaires can also be created as a follow up to any adjustment, providing the supervisor with a comprehensive and thorough review of the employee’s declaration.
For both the supervisor and program administrator, reports can be instantly exported to an Excel spreadsheet for seamless access to team or program information. Detailed reports and customized searches can also be filtered by a representative’
As an added benefit, Quest CE’s Learning Management System is now mobile ready, which will allow users to access training and tracking from any Internet accessible device. Users can input and/or confirm materials from a desktop or laptop computer; make edits on the go from a Smartphone, and finalize transactions from any tablet or home device. With that, all changes to the system are instant, allowing organizations to maintain an accurate overview of their representatives’
Quest CE’s tiered approval hierarchy delivers an end-to-end solution through pre-processing, review and analysis, providing firms with an extensive set of administrative features to coordinate workflow and automate document reviews. If you are interested in learning more about Quest CE Annual Tracking system, please e-mail sales at firstname.lastname@example.org or call a dedicated Account Executive at 877.593.3366.
About Quest CE
For over twenty-five years, Quest CE has been the premier provider of Compliance Education to the financial services industry. In addition to offering Providership Administration and insurance continuing education (CE) for professionals holding insurance licenses and professional designations like the CFP, CPA, CLE, CIMA and CLU/ChFC designations, Quest CE also provides a complete spectrum of FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.
Serving more than 450 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.