Going Digital with Compliance in Today’s Landscape

MILWAUKEE – August 12, 2020 – For years, technology has gradually reshaped the way firms manage their compliance processes, but the tribulations of 2020 have made the need for digitalization much more crucial. In our upcoming webinar, we’ll engage with the audience to get a pulse on how financial firms are handling the transition to remote work while managing their day-to-day compliance processes.

The webinar will kick off with a discussion on some of the complications that compliance professionals have experienced in 2020, the risks and rewards of automation and tactics to discuss the ROI of technology with stakeholders. Quest CE staff will also share some disciplinary action cases brought against firms unable to balance the role of their technology and people. Join the discussion on Thursday, August 27, 2020 at 1PM CT.

– REGISTER BELOW –

AGENDA:

1.) Getting a Pulse on how Firms are Handling:

   – Compliance Meetings/Training
   – Document Storage/Disclosures
   – Attestation/Follow-up Reports to Management

2.) Automation: Why and How?

   – Evaluation of Current Processes/Resources
   – Risks vs Rewards
   – Importance of Being Transparent with Shareholders

3.) Human vs Technology: Finding a Delicate Balance 

   – The Role of Technology vs the Role of People
   – Disciplinary Actions
   – Third Party Screening and Due Diligence

Register Now

The seat limit per session is 100 participants. If you or an associate is unable to attend the webinar series but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or sales@questce.com.

 

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About Quest CE

For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.

Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs.

For more information on Quest CE, visit www.questce.com.