Speak To A Live Person: 888.302.4594 Request A Demo

How To Align Compliance with Content Operations to Navigate the Regulatory Maze

Thursday, September 30, 2021

By Guest Contributor and Author: Brett Molotsky, VP of Industry Solutions at Aprimo

Financial services organizations know a thing or two about pressure. Risk management, regulatory policy, the burdens of remaining compliant while always trying to improve efficiencies and speed to market is a tall order. And on top of that, innovation in the solutions that alleviate this pressure are slow to develop, leaving these organizations with siloed processes, complex workflows, and long lead times for marketing to produce, review, approve and distribute content.

To cover all the bases, financial services teams need a single source of truth, to improve both compliance marketing reviews and disclosure management, and to better manage their digital assets. Most advertising compliance systems are proprietary, cobbled-together, hydra-headed solutions that require a team of IT pros to build, maintain, and optimize as they navigate the changing landscape of global financial markets.

So, while there’s a bevy of RegTech solutions out there of varying capabilities, your teams need to go beyond dated tracking “best” practices that typically call for stacks of physical documents, emails, shared network drives, and on-prem files that sit on individual devices isolated from rest of the organization.

Not only is this approach severely antiquated, but it is also entirely unsustainable…in other words, it won’t scale.

The biggest opportunity for FSI organizations is finding a way to deal with the explosion of channels and new forms of content appearing in the marketplace all of which demand more content and more attention from marketers while balancing the need for regulatory compliance and content governance. There are never enough resources available to companies to get all the content they need to produce into the market fast enough—and that’s where technology can help.


Managing your firm’s risk is job number one, yet teams often end up wrangling an overwrought submission process. And it’s not just the submission process that’s complex—it’s the content production process, the content management strategy, and the content distribution and retention strategies as well. Together, all those siloed systems add unnecessary complexity and risk to the firm. Simplifying those handoffs and connection points can save time and money and increase speed to market.

In order to manage your firm with a holistic view and full visibility, you need to add a layer of governance to your processes. Your content is only as good as how well it is tracked, managed, reviewed, and stored.

By combining the power of a content-centric production management platform such as Aprimo, and using Red Oak’s content compliance review, automated submission, and content retention capabilities, your organization can gain speed to market and efficiency of effort while also reducing risk.

And you need to do this all while tracking the full content lifecycle of any submission, from start to finish—whether it’s content review, work management, and team collaboration, or auditing.

Compliance technologies can help reduce risk significantly by managing the submission of content to FINRA, providing Rule 17a-4 compliant storage, and supporting intelligent compliance review capabilities. At the same time, a fully realized content planning, production, and management platform helps your firm set strategic goals for content and then execute against them in a fully compliant, standardized manner.


An integrated solution of leading-edge technologies—like Aprimo and Red Oak—can provide a value greater than the sum of the two parts. By providing secure, seamless, and fully compliant integration of content between your production and compliance engines, FSI orgs can achieve that through-line traceability of content necessary to respond to the regulatory inquiry and satisfy even the most stringent auditor.

Integrating Aprimo work management software with Red Oak compliance solutions is your key to delivering a complete, end-to-end operational process allowing you to protect and grow your firm’s reputation, and reduce the risk of costly penalties and fines, all while delivering an exceptional brand experience and reducing your time to market.

Want to see how you can get personalized, rich experiences in front of your banking, wealth management, and insurance customers faster with Aprimo? Take the interactive product tour.

Want to learn more about Aprimo? Click here to visit their site.



Brett Molotsky is Aprimo’s Vice President of Industry Solutions. He has spent the majority of his career helping enterprises leverage technology to meet customer needs while enforcing compliance with internal and external policies. As a thought leader in this space he has published several articles and has authored a book on applying business requirements to technology solutions. He currently resides in Southern California and has been with Aprimo since 2006.

About Red Oak Compliance Solutions

Red Oak Compliance Solutions is the global advertising review software of choice in the financial services industry. It is a comprehensive suite of SEC 17A-4 compliant features that are 100% books and records compliant and provides clients with 35% faster approvals and 70% fewer touches or better. We also offer Smart Review(SM), which solves for the storage and maintenance of disclosures, helping firms reduce risk, decrease review times, and increase the speed of distribution of marketing materials. Smart Registration(SM) automates the licensing and registration management process to help reduce regulatory risk and time spent on manual processes. Overall, Red Oak allows firms to minimize risk, reduce costs, and increase compliance review process effectiveness and efficiencies.

  • Categories

  • Get Started