MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Compliance Hot Topics for Supervisors and Principals,” to its Firm Element e-learning catalog.
Supervisors and principals will review current supervisory topics impacting broker-dealers today. The course explores emerging issues involving AI in client interactions, digital communications and off-channel messaging, cybersecurity and fraud risks, anti-money laundering red flags, and OBAs and PSTs. Through examples and practical scenarios, learners examine how these issues arise during routine supervision and how to respond in accordance with firm policies and regulatory expectations.
This course focuses on three core topics: 1) Best Practices for Supervisors Overseeing Generative AI 2) Off-Channel Communications Enforcement, and 3) Recognizing Potential AML Red Flags.
Course Topics Include:
- Artificial Intelligence
- Digital Communications
- Cybersecurity Risks
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
