[Webinar] Best Practices to Amplify your Audit Process

MILWAUKEE – March  13, 2020 – Regardless of your firm’s size or type of business, a lot about the branch audit process has changed over the past few years. For audit, legal and compliance personnel alike, a focus has been placed on moving from being a reactive, backward-looking exercise to a proactive, predictive, forward-looking one, working in real-time.

In this webinar, Quest CE staff will leverage its experience working with 1,500+ financial services companies to share some best practices surrounding branch inspection programs. We’ll also use this time to discuss how automated technology can help reduce errors, spot patterns and proactively remediate risk at your firm. Join the discussion Wednesday, March 25, 2020 at 12PM CT.



Branch Audit Program Overview

– Introductions
– Regulatory Requirements
– Focus Areas ( Conflicts of Interest)

 Best Practices for Conducting an Audit

– Scheduling (Announced vs. Unannounced)
– How to Prepare for an Onsite Exam
– Supportive Tools/Technologies

The Future of Audit + Technology: Are you Ready?

– The Benefits of using Technology
– Programs/Solutions Available to You
– Tech Takeaways & Questions

Register Now | March 25, 2020 @ 12PM

The seat limit per session is 100 participants. The anticipated duration of this webinar is 30 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or sales@questce.com.


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.