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.
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