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4 Strategies to Keep Financial Advisors Compliant and Productive

In the heavily regulated world of financial services, ensuring your client facing advisors have fully compliant content is essential. Of course, this is vital in mitigating risk, but think about the impact on your brand if that advisor provides incorrect or non-compliant information that leads to financial loss.

It is essential for marketing and sales leadership to put the necessary guard-rails in place while still having an effective content marketing strategy and tools that enhance the advisors’ access to and delivery of compliant content. To help keep your brand intact and your advisors compliant and on-game consider the following:

  1. A single location for advisors to access content: A single source of truth content repository or hub that an advisor can go to and be assured that what they are accessing and sharing with clients is the most up to date and always in compliance. This makes not only the advisor happy, but will keep your Chief Compliance Officer sleeping well.
  2. Prevent non-client facing content from being delivered: Have an automated tool that prevents internal, non-client facing content, from ever being shared by an advisor accidentally.  Even done accidentally, this has negative consequences, not only for the advisor, but potentially for your brand.
  3. Tools that enhance an advisor’s efficiencies and effectiveness: While supporting your advisors with excellent and compliant content is essential, equipping them with tools to make them more efficient is just as important. Whether it is a smart CRM integration or e-mail and calendar integration, taking steps out of an advisor’s process and providing access “where they live” is essential in helping to streamline their workflows so they have more time do what they do best – engage with clients!
  4. Mobile strategy: Today’s advisor is always on the go. Whatever tools you consider enabling them with, make sure they work as well on a mobile device as they do on a desktop/laptop. Also, ensure these tools can be accessed both on and offline.

These (4) strategies can help make sure that your advisors have access to the right content at right time as they engage with their clients and drive more business.

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