Build the Perfect Program

Easily assign training and maintain all aspects of your Firm Element program.

Step One: Needs Analysis

Our Needs Analysis Surveys serve as a diagnostic tool for determining what training needs to take place at your firm. These individual assessments look at each of your employees’ job knowledge, skills and abilities to identify any gaps in training or areas of need. Once the data is gathered and analyzed, the results can be used to appropriately assign course materials and create your firm’s written training plan for the year.

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Step Two: Firm Element

Our modern, mobile-ready compliance management system simplifies the process of planning, developing and implementing your Firm Element program. Deploy compliance training faster, automate training reminders and get the reports you need to stay on top of it all. You can also utilize Lesson Plans to easily create and administer custom training packages based on your representatives’ specific job titles, roles or departments.

Course Catalog

Industry-Leading Content

We understand that diverse training is essential to your compliance program. That’s why our Firm Element Catalog contains more than 450 courses, with topics ranging in length and difficulty. Our course library is unmatched in its ability to provide the most contextual training for all roles, departments and skill levels at your firm. We additionally author over 30 new courses annually and perform periodic course audits to ensure training is current with new and changing regulation. If you can’t find the course you need, simply let us know, and we’ll pass it on to our (incredibly talented) course writers.

Automated Training Reminders

We all know those people – the ones that put off doing their training until the last possible minute. Wouldn’t it be great if you could keep tabs on these individuals, throughout the program year, and automatically send training reminders to keep deadlines on track? Well, with our compliance management system, you can. Track training completions in real-time to see who has (and hasn’t) completed their assigned courses. Using the system’s integrated Email Blast Tool, you can thereafter schedule automated email alerts to deploy on a daily, weekly or monthly basis, until training is complete. Take that, procrastinators.

Adult Learning Principles

To meet the growing demands of today’s adult learners, it’s extremely important that you invest in training that not only challenges your representatives, but keeps them actively engaged throughout the course. That’s why we’ve included interactive elements, such as click-to-reveal quizzes, scenarios and images, into each of our courses to transform passive viewers into active course participants. Moreover, our training is as mobile as the people using it, making it accessible from any desktop, tablet or smartphone.

Firm Element Express

Set-up a program in 30 minutes, for as little as $40 per subscription. Ideal for boutique-size firms.

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Managed Programs

Launch a custom training program and benefit from the experience of an Account Executive.

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Step Three: Training Plan

As part of the Firm Element requirement, firms are required to establish a formal Written Training Plan to keep employees up-to-date on job and product-related subjects. The primary intent of the Written Training Plan is to tie the objectives, values, products and services of the business into a workable, compliance-oriented training strategy. In our Written Training Plan template, we help establish the training needs and learning styles of your firm by taking into account your firm’s size, structure, scope of business, and much more.

QUIZ: How successful is your Firm Element Program?

Not sure? Take our 10-question survey to find out.

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Complete Your Program

Annual Questionnaires

Add an actionable ACQ to your program to verify your representatives’ annual activities and disclosures.

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Disclosure Tracking

Individually track Outside Business Activities, Gifts, Entertainment, Customer Complaints and more!

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Annual Compliance Meeting

Cut costs, improve productivity and accelerate learning with our online meeting technology.

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Speak to an expert

Complete the form below to learn more about Firm Element training.

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