MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Artificial Intelligence Oversight for Supervisors,” to its Firm Element e-learning catalog.
This course equips broker-dealer supervisors with the tools to oversee how AI is used across firm operations, including communications, surveillance, and portfolio management. Learners will explore how existing regulatory requirements, such as supervision, recordkeeping, privacy, anti-fraud, and best-interest standards apply to AI-generated content. Through brief scenarios and hands-on exercises, the course outlines practical supervisory steps, including verifying firm-approved tools, reviewing outputs, documenting oversight, and escalating issues to ensure AI enhances, rather than disrupts, compliant client service.
This course focuses on three core topics: 1) Introduction to AI in Financial Services 2) Supervisory Responsibilities under Current Rules, and 3) Beyond Compliance: Best Practices for Supervisors
Course Topics Include:
- Identifying AI Risks
- AI Oversight
- Supervisory Response
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
###
About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com
