Imagine a compliance process tailored to your needs, where advisors can manage compliance requirements based on content type or specific advisor. The proposed Conditional Compliance Workflow would allow home offices to determine which content or advisors can self-review and which require a formal review, optimizing the compliance process and reducing unnecessary bottlenecks.

Use Case:

Consider a scenario where the compliance team decides that greeting cards don't need formal review, but other content types do. With this feature, advisors could send holiday cards directly to clients without awaiting approval, while ensuring that other communications undergo the necessary compliance checks. This approach simplifies the process, allowing for efficient communication while maintaining regulatory standards.