Choosing the right compliance technology partner isn’t just about checking boxes. It’s about finding a system and a team that fits the way your firm works. The right partner can help you streamline oversight, reduce manual work, and stay ahead of evolving regulatory expectations.
At Quest CE, we work with firms across the industry who are rethinking how they manage their compliance programs, and we often hear the same set of questions. Below, we’re outlining the most common things compliance professionals ask when evaluating providers, and how Quest CE delivers in each area.
1. Can everything be managed in one place?
Yes. With Quest CE, you can manage your entire compliance program through a single, centralized platform. Whether you’re assigning training, tracking disclosures, managing branch audits, or scheduling annual compliance meetings, everything works together in one place, no need to juggle multiple systems or vendors.
Our all-in-one platform brings together:
- Continuing Education (Firm Element, IAR CE, Insurance CE)
- Conflict of Interest Disclosure Tracking
- Branch Audit Management
- Annual Compliance Questionnaire
- Policy Attestations and Acknowledgements
- Annual Compliance Meetings
- Custom Course and Exam Authoring
- Advanced Reporting and Email Tools
This unified approach makes it easier to assign, track, and report on your firm’s compliance efforts, without relying on spreadsheets or disconnected systems.
2. Is it customizable to our process?
Our platform is designed to adapt to your firm’s specific workflows, not the other way around. Whether it’s customizing an audit template, tailoring disclosure questions, automating policy reminders, or aligning branding across the system, we make it easy to build processes that reflect your firm’s structure and voice.
3. How quickly can we onboard?
We understand that compliance teams are busy, and new platforms can feel intimidating to roll out. That’s why Quest CE offers hands-on onboarding and support at every stage.
You’ll be paired with a dedicated Account Executive who walks you through:
- System setup and product configuration
- Training and admin onboarding
- Pre-built templates for courses, audits, and disclosures
- Custom branding and SSO support
There’s no complicated implementation plan or endless back and forth. We keep the process simple and efficient.
4. Will the platform grow with us?
Yes! You don’t need to start over every time your needs change. Whether you’re adding new users, layering on additional products, or adapting to regulatory shifts, our all-in-one platform is built for growth. No bolt-on licensing fees. No “new client” contracts. Just a flexible system that scales with your compliance program.
5. Can we track what matters & prove it to regulators?
Regulators expect more than just completion data, they want proof of oversight. With Quest CE, you can track key compliance activities across your firm in real time and generate the documentation needed to support exams and internal reviews.
From CE completions and audit remediation to policy acknowledgements and disclosure follow-ups, everything is logged, time-stamped, and easy to report. Built-in dashboards and audit trails ensure your program is both visible and defensible.
6. Does the content meet industry expectations and stay up to date?
Quest CE’s courses are built in-house by subject matter experts who stay closely aligned with FINRA, SEC, and NASAA priorities. Our team actively monitors regulatory changes and industry trends to ensure our catalog remains timely, relevant, and exam ready.
You’ll have access to a wide range of courses that reflect real-world compliance scenarios, not just generic, surface-level content. And because everything is developed internally, updates happen quickly and with full quality control.
Compliance Technology That Works for You
Whether you’re evaluating a new provider or revisiting your current setup, it’s important to choose a partner who understands your needs, supports your growth, and builds tools that make your job easier. At Quest CE, our platform is designed to give you the oversight, automation, and customization you need to stay focused on what matters most.
To schedule a personalized demo, reach out to us here.
