Quest CE Rolls Out Complete System Redesign

MILWAUKEE – May, 16, 2016 – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the release of its newly redesigned compliance management system, Renaissance. This announcement marks the evolution of its traditional learning management system to an all-in-one compliance management system and represents significant enhancements in usability and functionality. This shift harbors in a new age for Quest CE.

“The Renaissance Evolution has been a multi-year project for Quest CE and we’re beyond excited to finally bring the new system to market,” said Quest CE Chief Information Officer, Patrick Torhorst. “We came into this project with one major goal in mind: to make a dynamic, user-friendly system that provides firms with a 360-degree view of their compliance operations. Our theory is, if someone has to call-in for more reporting options or added flexibility, we didn’t make it right.”

The new version consists of three major developments: a cleaner, more modern looking interface, the remodeling of its disclosure tracking and annual compliance questionnaire technology and the ability to host and manage internal policies. Additionally, the system now features and integrates with a host of new services, product enhancements and system functionality to help simplify the compliance management process for broker-dealers and other financial institutions.

New Services Include:

  • Policy Management Tool
  • Outside Brokerage Account Tracking
  • Securities Received Tracking
  • Checks Received Tracking
  • Customer Compliant Tracking
  • Resource Library

New System Functionality Includes:

  • Item-by-Item Audit Trails
  • Rep and Producer Standard Forms (Data Automation)
  • Automated (30-60-90-day) Licensing Reminders
  • Program Onboarding (Self-Registration)
  • Lesson Plan Access Codes
  • Advanced Reporting Filters
    • Add/Remove Data Points
    • Change Sorting Criteria
    • Change Filtering Criteria
    • Download to PDF/CSV

New Product Enhancements Include:

Disclosure Tracking Service:

  • Data Integration with ACQs
  • Automated Bookmarking of Disclosure Submissions
  • Disclosure Limits for Gift and Entertainment Expenses
  • Unlimited Flexible Hierarchy
  • Adjustable Business Rules
  • Standard Forms (Optional)
  • Automated Activity Emails/Logs
  • Automated Disclosure Recertifications
  • “No Disclosures to Report” Tracking
  • Visual Approval Queue
  • Electronic File Cabinet
  • Question-by-Question/Disposition Tracking

Annual Compliance Questionnaires:

  • Data Integration with In-System Disclosures
  • Rep and Producer Profiles
  • Standard Forms (Dynamic Surveys)
  • Real-Time Data Updates

“We think of this evolution as a huge leap forward,” said Quest CE EVP of Sales, Marketing and Client Services, Alex Krenke. “The new system is much more then a repackaging – we’re rolling out over 25 new features and functions that we expect will have a lasting impact on the way firms manage their compliance programs and risk exposures.”

Schedule a demonstration today to see how integrating your disclosure tracking, annual compliance questionnaires and audit procedures can help reduce manual work, simplify procedures and improve the overall transparency of your compliance program. For more information on Quest CE’s Compliance Management System, Renaissance, or any of its new services, please contact Quest CE at 877-593-3366 or e-mail sales@questce.com.

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About Quest CE

For over twenty-five 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 also provides a complete spectrum of proprietary technology solutions for managing and supervising compliance and 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 seeking training and compliance needs. For more information on Quest CE, visit http://www.questce.com.