FINRA Firm Element Training

Quest CE offers two options to help firm’s meet their Firm Element Training Requirements.

Complete Turnkey Solution

We offer a complete turnkey solution including Needs Analysis, Training Plan Development, Compliance Management and Custom Course Content or access to Quest’s Course Library.

Course Content Only Solution

For organizations looking for content only, Quest offers complete access to our course library or custom course development.

Whatever your need may be, Quest CE has a solution that will work for you.

Organizational Hierarchy and Admin Tools

Your organization can modify and add students to the initial organizational hierarchy with our self-sufficient, web-based admin tools. Your Learning Portal can be customized through the addition of a company logo, color scheme, company specific FAQs, documents, and contact information.

User Login Setups

Customizable login setups are available. Options for login setup include:

• Standard setup: Your organization provides users with a unique Username and Password.
• Pre-authorized setup: Your organization submits or uploads user information along with the courses to be completed by each student. The organization will need to provide the employee’s first name, last name, and email address in order to uniquely identify each user on the Quest CE platform. If needed, additional information may be included during setup.
• Single sign-on: Our technology team can work with your organization to setup a single login. This would allow your employees to login with their existing corporate username and password in order to access the Quest CE website. This option would incur an additional charge.

Firm Element Dashboard

Convenient, Customizable, On Demand Reporting

Overview

The user interface of our web-based Learning Portal allows for enhanced navigation and usability, allowing your students to focus on completing their curriculum. The Firm Element Dashboard provides extensive reporting, enabling you to efficiently monitor the progress of students within your whole organization, by curriculum, and by course. Administrators are able to easily view which students have completed, started, or not started their curriculum. From this interface, the administrator can easily drill down to deeper levels of progress within each student’s curriculum or course.

Customizable Curriculums

Your organization can customize your curriculums based on over 100 courses in our Firm Element library. You may have a mix of required courses, as well as electives within your curriculum. Additionally, the Quest Learning Portal allows for organizations to load courses or content that students may have taken and completed outside of the current Firm Element Library. This allows for easy tracking of all courses in one central database.

Email Alerts

Email alerts include the ability to customize the alert notification timing and the text of the emails that get sent to the respective employees. Email can be only sent to those students that have not completed their course completion requirements.

Summary

Quest’s Firm Element program allows your employees convenient access to their curriculum, and puts your admin in the optimal position to manage each Firm Element program to suit your needs.

Four Tiered Approach

• Needs Analysis
• Training Plan Development
• Compliance Management
• Custom Course Content or Access to Quest’s Robust Course Library

Needs Analysis

Quest will assign 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 reps will only take the courses that are required and automatic email reminders reduce the possibility of non-compliance and minimize administrative tracking.

Customized Course Curriculum

Quest offers over 100 online courses that may be used to satisfy firm element training requirements, many of which are also approved for insurance and designation continuing education.  We customize all of our programs to ensure the firms we work with get the specific training they require.

Need More Information?

To find out more about Quest’s Complete Firm Element Solution, click here or call 877-593-3366.