Compliance Review for Advisor Profiles

Why Profile Reviews Matter

Advisor profiles contain critical information that appears throughout all client-facing content:

Profile Elements Used in Content:

• 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

This information automatically populates in emails, social posts, microsites, and other branded materials, making compliance approval essential for maintaining consistent, compliant communication.

Automatic Review Triggers

Profile reviews are triggered when advisors update any personal or business information in their profile settings. The system flags these changes and routes them for compliance approval.

Review Required for Changes to:

• Name or display name
• Professional title
• Company name or business logo
• Contact information (phone, email, website)
• About Me section
• Social media account links
• Disclosure information

Review Notifications

Compliance officers receive notifications when profile changes require review:

• Profile appears as "Under Compliance Review" in the account manager dashboard
• Changes cannot go live until approved
• All branded content continues using previously approved information until new changes are approved

Impact on Live Content

During Review Period:

• All existing content continues using previously approved profile information
• New content creation may be limited until profile approval
• Advisors see "Under Compliance Review" status in their dashboard

After Approval:

• Updated information immediately appears in all new content
• Existing scheduled content updates to use new profile information
• Microsites and email signatures reflect approved changes

Need Help? If you have questions about profile compliance reviews or need assistance with the review process, contact our support team at [email protected].