Designed and developed with extensive input from industry field auditors, Quest CE’s award-winning Branch Audit Management platform helps firms efficiently automate the entire audit lifecycle.
By providing users with a powerful workflow engine, users can seamlessly schedule audits, assign pre-audit/branch audit questionnaires and track results from their firm’s secure, corporate branded platform. Upon completion of a branch inspection, an automatic summary of the audit’s findings is produced.
- Built-In Work Queues to Mitigate Compliance Risk
- Integrated Electronic Scheduling and Tracking
- Risk Analysis Meter and Percentage Charts
- Pre-Populated Risk Flags
- SEC 17a-4 Historical Record Keeping
- Detailed Reports for Deficiency Follow-Ups
- 4 Step Audit Process
- Team Audit Capabilities
- Flagged Pre-Audit Questionnaires
- Pre-Audit Checklists
- Offline Sync
- Automated Email Follow Up and Attestation
Once a firm launches their platform, the Program Administrator will need to input branch, auditor and rep specific details, create all needed questionnaires and distribute login details, all prior to Auditor access.
The Branch Audit Lifecycle
Once the Auditor begins the audit process, they can schedule, execute and report on their pre-audits, branch audits, and individual reps audits while monitoring risk and deficiencies.
The Rep’s Role
Once a Rep has received their login credentials, they can complete their pre-audit surveys and participate in onsite audits. Once complete they can attest to audit findings digitally.
Admin Reporting and Risk Analysis
At anytime, the Admin can view reports or check the status of all system processes. The Auditor can do the same for their assigned branches.