Assess risk and facilitate communication between your auditors, branch supervisors and representatives.
Developed with extensive input from industry field auditors, our award-winning branch audit solution simplifies the process of executing internal audits by providing its users with a powerful workflow engine that automates the entire audit lifecycle. 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. Additionally, the platform’s interactive calendaring system makes it easy to keep tabs on your auditors’ daily activities.
Each individual firm has a unique process when it come to conducting their internal audits. This is why our system gives you the ability create and edit your own audit questionnaires without having to contact Quest CE support or your account executive to make content changes on your behalf. To make it even better, our solution comes with these customization capabilities, at no additional cost.
Too often, internal branch audits fail because they’re more focused on gathering data rather than using it to make informed, calculated decisions. That’s why our reporting dashboard was built to help your firm calculate risk, identify trends and assess potential gaps in your representatives’ day-to-day workflow. Information can be filtered and sorted by a variety of reports to provide your firm with a defensible compliance history it can stand behind.
Upon completion of a branch audit, your compliance team can easily download a summary of the audit to pinpoint issues that require immediate attention. Choosing from a list of standardized follow-up letters, the system will automatically pull deficiencies into the letter template, saving time and increasing the productivity of your auditors. Follow-up emails can then be sent directly from within the system, creating an automatic audit trail of electronic correspondences.
Imagine it – no more phone calls requesting data or reports from various groups or individuals spread across your firm, because that information will already be available to all authorized users. 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 ever audited, your files will be consistent, organized and easily accessible from our SEC compliant WORM compatible system.
Additionally, our Branch Audit platform is completely mobile compatible, allowing users to access the tool from any internet accessible device. Whether working out of the corporate office or a remote location, your auditors can document observances as they occur in real time, avoiding the time consuming process of manual intervention. Our platform also supports offline sync, giving your auditors the unique ability to work through an audit, even when the internet connection is temporarily unavailable.
This is something that compliance officers and other c-suite individuals need to keep an eye on...
Complete the form below to learn more about our Audit Management system.