Compliance Review for Advisor Profiles
Profile compliance ensures all advisor information meets regulatory standards before appearing in emails, social content, and microsites.
How Compliance Review Works
When you update your user profile, any changes are automatically sent to your compliance team for review. The profile enters a compliance hold, and the new information will not display to recipients until it is reviewed and approved.
While under review:
- Your dashboard will show an “Under Compliance Review” status.
- Compliance officers are notified of the pending review.
- All branded content (emails, social posts, microsites, and signatures) continues using the previously approved profile information until approval is granted.
What Happens Next
✅ If Approved
- The updated profile information is released from compliance hold.
- New content will immediately use the approved information.
- Existing scheduled content (emails, social posts, microsites) automatically updates to reflect the new details.
🔄 If Changes Are Requested
- Compliance teams may request edits to your profile information.
- Your account manager will make the requested changes.
- Once updates are applied, the profile will be resubmitted for compliance review.
- Until approval is granted, your profile and content will continue to use the most recently approved information.
Why Profile Reviews Matter
Your profile contains details that appear across all client-facing communications, including:
- Name and professional title
- Company name and business logo
- Contact information (phone, email, website)
- "About Me" biography
- Social media account links
- Required disclosures
- Calendar booking information
Because this information is reused everywhere, compliance review ensures that your communications remain accurate, consistent, and compliant.
Need Help? If you have questions about profile compliance reviews or need assistance with the review process, contact our support team at [email protected].
Updated 18 days ago