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Compliance training quiz by voice
Runs short compliance quizzes by voice, marks each answer, explains the right one and logs the score to the person's training record.
Talk to Olivia at Quillbrook Wealth Partners
Quillbrook Wealth Partners is made up. Olivia is a real agent, set up the way we would set one up for your team. Talk or type and ask what your staff would ask.
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The problem
Annual compliance training is often a slide deck clicked through at speed. Nobody knows whether the rules stuck until something goes wrong.
How it works
- Asks questions drawn from the firm's compliance manual and this quarter's policy changes
- Marks each answer and explains the correct one in a sentence
- Matches the questions to the person's role
- Ends with a short summary of what to reread
- Logs the score to the training record, and books a retake below the pass mark
What it connects to
- Jordan (client associate)Can we do this quarter's compliance quiz? I've got ten minutes.
- AgentSure, two questions from the compliance manual. First: a client emails asking you to wire $40,000 to a new bank account. What do you do?
- Jordan (client associate)Don't act on the email. Call the client back on the number we have on file and tell their adviser.
- AgentCorrect. Second: what's the most you can accept in gifts from one client in a year?
- Jordan (client associate)A hundred dollars?
- AgentClose, but it rose to $150 under this quarter's gifts policy. So 1 of 2, and strong on money movement. Reread the gifts and entertainment section before your retake. I've logged the score to your training record.
Illustrative conversation. Names, numbers and details are made up.
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