We help #financial service organizations manage their #compliance operations with #FirmElement training, #disclosure tracking & branch #audit solutions.
Milwaukee, WI
Joined October 2009
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Q4 moves fast. 👀
Now’s the time to check what’s outstanding, what’s coming due, and what needs attention before year-end.
A little progress in October can save a lot of scrambling in December.
Finish Q4 strong: hubs.ly/Q04ylVNx0
#Compliance #Q4 #QuestCE
Information barriers help protect sensitive information across the firm.
Our newest course covers key safeguards, common violations, and how to escalate concerns appropriately.
Learn more: hubs.ly/Q04B1cBf0
#FirmElement #NewTraining #ContinuingEducation
Do your firm members understand the SEC Custody Rule?
Our newest course covers custody requirements, qualified custodians, safeguards, and escalation procedures.
Learn more in our press release: hubs.ly/Q04B19bj0
#FirmElement #SEC #NewTraining
The “quick question” somehow always comes with three follow-ups, a policy to check, and something to document. 😂
Compliance pros, you know the drill.
What’s your version of the never-quick question?
#Compliance #QuestCE
A summer well spent. 🌱❤️
Throughout the summer, several groups from Quest CE traded their desks for the fields and spent time volunteering at the Hunger Task Force Farm.
A few snapshots from our days at the farm! 📸
Cash account violations can start with overlooked details.
Our newest course covers freeriding, good faith violations, settlement mismatches, and steps that can help keep customer accounts compliant.
Learn more: hubs.ly/Q04ylT1j0
#FirmElement #CashAccountViolations
Happy National Techies Day! 💻 (Well, technically tomorrow.)
We’re celebrating the teams who build, improve, and support the technology behind Quest CE. Great compliance technology starts with great people behind it!
#NationalTechiesDay #QuestCE
Securities lending comes with important risks and regulatory obligations.
Our newest course covers securities-based lending, fully paid securities lending, key risks, and communication standards.
Learn more: hubs.ly/Q04ylRxz0
#FirmElement #SecuritiesLending
Something new is swinging into conference season... 🕸️
Meet our Your Friendly Neighborhood Compliance Team tee! Find it at NSCP 2026 while supplies last.
Stop by Quest CE Booth #3 and grab yours!
#NSCPAnnualConference #QuestCE
National Compliance Officer Day is tomorrow! 🎉 Celebrate with a Quest CE T-shirt giveaway. 👕
❤️ Tag a compliance officer OR comment ❤️ if it’s you
👕 Follow Quest CE to enter
One winner gets a Quest CE tee of their choice!
#NationalComplianceOfficerDay #Giveaway
Good #compliance decisions matter. So does being able to show how and why they were made. Clear #documentation creates a record of reviews, approvals, and actions that compliance teams can reference when questions arise.
👉 Learn how #QuestCE can help: hubs.ly/Q04tJ_hb0
Today we're celebrating the people who somehow always know what to do when the rest of us say, "It's not working." 💻👏
Happy National IT Professionals Day to our incredible IT team.
#ITProfessionalsDay #QuestCE #Technology
Research analysts face competing interests daily. Our latest course covers conflict management, disclosure requirements, and the procedures that protect research independence.
Learn more in our press release: hubs.ly/Q04tKrxB0
#NewCourse #ResearchAnalysts #FirmElement
Quest-ion of the Month!
Where does your compliance team spend more time than you think it should?
Training administration? Disclosures? Audits? Reporting? Something else?
💬 We want to hear it.
#Quest-ion #Compliance #IHeartCompliance
📣 Office Closed: Monday, September 7th 📣 While we're away, don't forget to use code "LABOR26" for 20% off all Insurance and Designations CE!
Normal business hours will resume on Tuesday, September 8th!
hubs.ly/Q04tLVz40
#labordaysale #20off #laborday2026
Celebrate the long weekend with savings on your CE!
For a limited time, save 20% on Insurance & Designation CE and make a little more progress toward your continuing education requirements.
Use code LABOR26 at checkout to save.
👉 Start your CE: hubs.ly/Q04vqX6Z0
Financial responsibility isn't just the FINOP's job. It's a firm-wide effort. Our new course covers net capital rules, financial reporting, and every employee's role in compliance.
Learn more: hubs.ly/Q04tJ9LY0
#NewCourse #FirmElement #FINOP