Assess risk and immediately address firm issues with a simplified audit platform.
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. Additionally, the platform’s post-audit process makes it easy for auditors to notify branch supervisors and/or representatives of any flagged issues or deficiencies that require attention. If desired, auditors can assign attestations to the individual(s).
Each individual firm has a unique process when it comes to conducting internal audits. With that in mind, it’s essential for you have full control over the questions you ask and how you ask them. This is why our system allows you to build and customize your audit questionnaires without having to contact your Quest CE account executive to make content changes on your behalf.
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 designed to help your firm calculate risk, identify trends and assess potential gaps in your representatives’ day-to-day workflow. Information can be filtered and reported in a variety of ways to provide your firm with a defensible compliance history it can stand behind.
Upon completion of the audit, any issues and/or deficiencies that were detected will be displayed in the post-audit dashboard. From there, the auditor can choose from a list of standardized follow-up letters that will automatically pull audit findings into the letter template, saving time and increasing the productivity of your auditors. In addition to the letters, follow-up emails and digital attestations can also be sent from within the system, creating an audit trail of electronic correspondences.
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. Additionally, our Branch Audit platform is completely mobile compatible, allowing users to access the tool from any internet accessible device. Whether working from the corporate office or a remote location, your auditors can document observances as they occur in real time. 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.