Quest CE offers a full suite of FINRA Firm Element compliance training and tracking solutions. Our state of the art proprietary learning management system, Renaissance, provides intuitive tracking and reporting, interactive course content delivery, user-friendly course navigation and unparalleled administrative features.
Quest CE’s industry authored course content is current with today’s trends and audited annually. Students will find that the content is comprehensive and relevant to their daily business activities. Quest CE’s technology is continuously updated, making it a more user-friendly experience. Instantaneous reporting allows for administrators to run clear and accurate reports. Quest CE offers a superior compliance training solution at significantly lower costs.
Our full suite includes:
• Firm Element Training
• Annual Compliance Meeting
• Annual Compliance Questionnaire
• Firm and Individual Needs Analysis Survey
• Outside Business Activities Tracking
• Gifts and Entertainment Tracking
• Political Contributions Tracking
• Anti-Money Laundering Training
• State Insurance & Designation Training
Flexibility
• Ability to use custom courses unique to your firm
• Custom courses unique to your industry i.e. REITs
• An in-house library of 350 plus courses; new courses added annually
Technology
• Customizable reporting capabilities available at any time
• An automated email system to follow up with students who have not yet completed requirements
Four Tiered Approach
• Needs Analysis
• Training Plan Development
• Compliance Management
• Custom Content or Access to Quest CE’s Course Library
Needs Analysis
Quest CE assigns a dedicated program coordinator to your Firm Element training program. This individual will work with you to analyze compliance areas that are critical to your annual program and help develop a training plan.
Training Plan
Based on the results from the Needs Analysis, the Firm Element training plan outlines recommended courses for covered persons based upon experience and area of responsibility.
Compliance Management
Our online program allows you to minimize in-house resources. Your administrator and students can easily check course completions online at the touch of a button. Your registered representatives will only take the courses that are required, and automatic email reminders reduce the possibility of non-compliance and minimize the need for administrative tracking.
Customized Course Curriculum
Quest CE offers over 350 online courses that may be used to satisfy Firm Element training requirements, many of which are approved for insurance and designation continuing education. We customize all of our programs to ensure the firms we work with receive the specific training they require.
