Quest CE Unveils Branch Audit Tool Enhancements
Quest CE’s Branch Audit Tool offers automated internal audit workflows that integrate with other Quest CE services so firms can efficiently manage risk and meet the obligations of their branch locations across the nation. Quest CE is now extending its commitment to deliver industry-leading compliance technology solutions with several streamlined capabilities.
“We are thrilled to share this announcement with the industry,” said Quest CE EVP of Sales, Marketing and Client Services, Alex Krenke. We truly believe that these changes to the platform will help our clients complete their internal audits more efficiently by streamlining the audit planning, fieldwork and reporting process. We’re excited to release these new developments as they were designed to improve common pain points auditors’ face on a daily basis.”
This list highlights some of the top new and updated features.
Branch Location Display Map: One of our newest and most highly-anticipated Branch Audit enhancements was the release of the tool’s new Branch Audit mapping technology. Program administrators and auditors now have the ability to pinpoint each branch location on a graphical map of the United States, making it easy to make travel plans based on where and when audits are scheduled. Additionally, each Branch location includes a “Get Directions” option, to quickly map out routes to specific branch locations.
Audit Forecasting Report: The new Forecast Potential Audit Schedule Report was added to the Branch Audit Tool as a way to forecast the number of audits anticipated to be scheduled over a five year period, based on scheduling frequencies. This report can be filtered by Branch Type and Year to help plot out future budget resources and/or audit staff.
Audit Admin Assistant Role: The Admin Assistant role will serve as a read-only account role within the Branch Audit Tool and can be utilized by authorized employees and independent auditors. These users are be able to perform the following functions within platform: view audit details, download uploaded files, bulk load branch information and unlock auditor and user accounts.
Override Audit Frequency: Currently, Quest CE’s Branch Audit Tool is set to schedule audits to recur automatically based on whether it is an OSJ or non-OSJ branch type. New to the system, however, is the ability to override a single branch’s audit cycle to occur more or less frequent based on the supervisory needs of that branch location (i.e. a high-risk branch needing to be audited more frequently).
Ability to Save Follow-Up Letters: This auto-save feature allows auditors to customize follow-up letter templates and save the updated versions in the system, allowing them to easily generate their branch-specific follow-up letters in the future. This new option also makes it easy to save letters that are in-progress so they can be completed at a later time.
Download Audit Questionnaire: This new feature allows program administrators to seamlessly export pre-audit or audit questionnaires to a PDF, without any response data. This export option is primarily used to create copies of a questionnaire with staff outside the Branch Audit Tool or regulators.
Additional Merge Fields: To help auditors create truly customized letter templates, several new merge fields were added to the system. These new merge fields include: branch name, branch phone number, branch code, internal code and company ID.
Signature Blocks: Signatures solidify the authenticity of an email or letter and allow organizations to reinforce their brand. With that, Quest CE added the ability for auditors to create and store signature blocks within the Branch Audit Tool so they can be selected and automatically added to a signature line of a follow-up letter.
Application Log: The Application Log report has been updated to include more details to help clients better identify actions taken within the tool. New filter options added to the report include: files uploaded, files deleted, auditor change logs, account setting change logs and more.
Terminated Auditors: To help eliminate any coverage gaps when an auditor is terminated from the Branch Audit Tool, new functionality was added that requires any audit(s) in-progress or scheduled to be assigned to a new or intermediary auditor. This ensures that scheduled audits cannot exist without an active auditor assigned to them.
For additional information on the enhancements made to the system or to learn more about Quest CE’s Branch Audit Tool, contact us at 1-877-593-3366 or email us at firstname.lastname@example.org.
10100 W Innovation Drive
Milwaukee, WI 53226
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.
This release was published on openPR.
Permanent link to this press release:
Please set a link in the press area of your homepage to this press release on openPR. openPR disclaims liability for any content contained in this release.
You can edit or delete your press release Quest CE Unveils Branch Audit Tool Enhancements here
News-ID: 1891286 • Views: 254
More Releases from Quest CE
Quest CE Releases Course on NY Regulation 187
MILWAUKEE – May 28, 2019 – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the release of a new course focused on New York’s Amendment to Regulation 187, which significantly expands existing suitability standards involving life insurance and annuity products. Broker-dealers who sell annuities in the state of New York will need to abide by the New York State Department of Financial Services Best Interest Regulation
Quest CE Receives ClearCert’s Content Certified Seal of Approval
MILWAUKEE – May 12, 2015 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, today announced that it is now a ClearCert Certified Training Provider, further enhancing its reputation as a trusted partner in the continuing education market. ClearCert is a third-party information clearinghouse that validates content across statewide Long-Term Care Insurance and Annuity Suitability training courses to ensure content quality and consistency across the industry.
Quest CE to Attend SILA’s 2014 National Education Conference
MILWAUKEE – September 15, 2014 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is pleased to announce its attendance at the Securities and Insurance Licensing Association’s (SILA) upcoming 2014 National Education Conference. The annual conference will take place October 5-8 at the Disneyland Hotel in Anaheim, California. Given the location, the theme of this year’s event is “If You Can Dream it, You
Quest CE Adds Studio Recorded Audio to its ACM Library
In response to client and industry feedback, Quest CE, premier provider of insurance continuing education and FINRA firm element training, is pleased to announce the transition of its Annual Compliance Meeting (ACM) Course Library to live, studio recorded audio, removing the monotone and inconsistent delivery of even the best text-to-speech software. “For years, speech synthesis was a new and useful technology for online training and education,” said Quest CE Manager of
More Releases for Audit
Information Security Audit Manager (ISAM)
Create audits across multiple Departments as well as Projects in your Organisation that are based on checklists that you define. Oversee the entire audit, from the creation to the NC closures. Discuss each checklist question with the Auditor back and forth using an in-line Chat system. View and download NC Reports as well as attached evidences instantly for the closed audits from anywhere using your ISAM account. Our goal in
Writing Effective Audit Observations
Why You Should Attend The Session This webinar will provide the basic principles for writing effective audit observations. The audit observations represent the end result of weeks of reviews, analyses, interviews and discussions. It is used to provide important information to management on the area you reviewed. And, more importantly, it provides details to management on significant issues that needs to be addressed. How well you communicate
Print Audit® Releases Print Audit 6.6
With numerous reporting enhancements and fixes, the Print Audit 6 upgrade is available for free to current users. Calgary, Alberta – December 8, 2011 – This week, Print Audit®, the print management company, released the latest version of its flagship software, Print Audit 6. This release offers users many improvements to the program’s core tracking and reporting functions, including enhancements to the software’s integration and tracking with Adobe products. Print Audit 6
Internal audit boutique joins Moore Stephens
Campbell Tickell Assurance, a specialist internal audit and investigations firm, merged with leading accountants and consultants, Moore Stephens, on 1 January 2011. CT Assurance provides internal audit and investigation services for social housing organisations. The transaction will boost Moore Stephens’ already significant governance, risk and assurance practice. Roger Lustig, CT Assurance’s principal said that the time had come for his firm to take the next step in its development. “We examined a
Print Audit® Releases Copy Audit Touch 6.0.7 for Print Audit 6
This update is free for current users and offers improvements to the product’s efficiency with large photocopying jobs and enhanced Canon device tracking. CALGARY, ALBERTA - JULY 26, 2011 – Print Audit®, the print management company, has released a free downloadable update for all Copy Audit Touch users with functionality enhancements and more accurate tracking capabilities. Copy Audit Touch is a copy tracking system that integrates seamlessly
Enventure Technology Pass ISO Surveillance Audit
NH, U.S.A. (19 November, 2010) - Enventure Technology Services, a leading Engineering and Supply Chain services provider to global corporations, has successfully passed an ISO (International Organization for Standardization) surveillance audit by Det Norske Veritas (DNV). Passing the ISO 9001:2008 audit means that Enventure Technology Services continues to be ISO certified, as they have been since 18 July 2002. ISO standards help Enventure ensure that the development and delivery of