American Elm Advisors and Quest CE Announce a Partnership to Help Financial Institutions Simplify their Compliance Training Programs
American Elm, a compliance consulting company, and Quest CE, an innovative technology company, are excited to announce a strategic partnership to combine these services to offer registered investment advisors and broker dealers a simplified way to manage their compliance training programs.
Quest CE’s technology platform simplifies the process so the user can flow through the program with ease. In addition, their services comply with SEC Rule 17a-4, eliminating the need for broker dealers to keep paper records of their training; and with FINRA Rule 3110(a)(7), which requires active employee engagement when attending an annual compliance meeting.
“Quest CE is a top provider of compliance training for registered investment advisors and broker dealers. They not only have a proprietary, reliable, innovative platform- but their team provides exceptional customer support and prides themselves on listening to their customers and using their feedback,” said Jessica Murray, Chief Compliance Officer at American Elm. “This is a natural fit that leverages our team’s experience running compliance programs with Quest CE’s incredible on-demand training solutions.”
Advanced Compliance Consulting Services
Quest CE and American Elm know that the annual compliance training requirements can be overwhelming, especially for small firms. With this partnership, they hope to ease that worry and help firms create effective, efficient, and compliant training programs for registered investment advisors and broker-dealers.
The compliance training can consist of a combination of services including Annual Compliance Meetings, Compliance Questionnaires, Firm Element Training and/or Investment Advisor Training. American Elm will manage the program from start to finish; including initial design, implementation, monitoring and reporting, all utilizing Quest CE’s technology platform. The training will be designed to ensure it’s tailored to the firm’s business, risks, and product line. No firm is created equal, and neither should their training programs.
About Quest CE – A Company that’s turning ideas into reliable, easy-to-manage technology solutions
Quest CE provides easy-to-use technology for financial institutions to conduct their compliance and continuing education programs. Quest CE was founded in 1986 and is headquartered in Milwaukee, WI. Quest CE strives to continually improve their platform by keeping client feedback in mind and believes that great results begin with a clear focus on their clients and team members.
About American Elm
American Elm Advisors offers compliance consulting, distribution, and marketing services to broker dealers, registered investment advisors, and insurance companies. Their compliance team brings decades of experience designing and implementing policies and procedures, training programs, compliance testing programs, and other compliance related services.