Quest CE’s compliance management solutions help centralize and coordinate information in one reliable system to improve processes, ensure compliance, alleviate risk and help better manage your organization. We pride ourselves in the creation, execution and continual growth of our proprietary technology and are dedicated to building solutions that are both innovative and flexible enough to fit the unique needs of all our clients, big or small.
In today’s complex regulatory environment, firms now, perhaps more than ever, need to integrate robust regulatory training and tracking programs into their everyday supervisory procedures. Quest CE’s closed-loop management solutions help firm’s reduce risk, while improving day-to-day operations.
- Branch Audit Management
- Annual Compliance Questionnaires
- Annual Disclosure Tracking
- Needs Analysis Surveys
Licensing and Registration
Quest CE’s Bridge is a web-based, multifaceted application that automates, centralizes, and simplifies the task of organizing and maintaining FINRA Web CRD and NIPR licensing and registration information. By aggregating compliance data into a single repository, firms benefit from quicker and more thorough response to time-sensitive form filings.
Quest CE offers an array of continuing education (CE) solutions to help both firms and individuals comply with their state and federal-mandated requirements. Our highly specialized team of content editors focus on creating industry-leading courses to be used by securities and insurance professionals.
- FINRA Firm Element Training
- Insurance and Designation CE
- On-Demand Annual Compliance Meetings
- CE Seminar Administration
NAIC Annuity Training
Quest CE simplifies the NAIC Annuity Suitability Training requirement for producers, insurance carriers and broker-dealers with a streamlined annuity suitability training solution, featuring the industry’s only automated reciprocity engine. Quest CE’s NAIC platform features producer self-registration, seamless login, and encrypted data feeds for broker-dealers and carriers.