Branch Audit Tool

Assess risk and immediately address firm issues with a simplified audit platform.

Simplify your Internal Audits

Ditch the manual processes and start benefiting from an automated branch audit solution!

Award-Winning Technology

Developed with extensive input from industry field auditors, our award-winning branch audit solution simplifies the process of executing internal audits while identifying and recording potential risk. In four easy steps, your firm can schedule audits, customize, edit and assign pre-audit/branch audit questionnaires and track results from a secure, centralized WORM compatible platform.

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Content Customization

We make it incredibly easy for you to build and customize your own audit questionnaires in the system without having to contact your Quest CE account executive to make content changes on your behalf.

Real-Time Reporting

Easily calculate risk, identify trends and assess potential gaps in your firm members’ day-to-day workflow. Our system also includes a Google Maps API Integration to give you a visualized view of your branch locations.

Automated Deficiency Letters

Auditors can choose from a list of standardized follow-up letters that will automatically pull audit findings into the letter template. Follow-up emails can also be sent from within the system, creating an active audit trail.

Whitepaper: The Benefits of Paperless

Do you know the strategic benefits of taking your branch audits online?

Eight Reasons to Take your Branch Audits Online

With a web-based audit management system in place, you’ll never have to worry about stray papers, the cost to print and store documents or the time it takes to manually input data. Plus, if and when you’re audited, your files will be consistent, organized and easily accessible from our WORM compatible system.

READ WHITEPAPER

Easy Four-Step Process

Our Branch Audit Tool uses an easy-to-follow four-step process

1

Audit Management

In this first step, you will enter all the details you need to schedule an upcoming audit to take place at a branch location.

2

Pre-Audit Work

Here, the auditor will work through a pre-audit checklist assigned by your firm to ensure they are prepared for the branch audit.

3

Branch/Rep Audit

In this section, the auditor will conduct an audit of the branch location and interview any necessary branch employees.

4

Post Audit Follow-Up

Finally, this is where the auditor will resolve and follow-up on any potential issues or risks identified during the audit.

From the Media

We think our technology is pretty great, but others tend to agree.

This is something that compliance officers and other c-suite individuals need to keep an eye on…

– Davis Janowski of Investment News

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Still not convinced? Take a test drive of our system today!

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