What is a compliance workflow?

A compliance workflow is the process your Broker Dealer uses to review and approve content before it appears on your live website.

If you have selected a Broker Dealer from our list of approved BDs in Step 1 of the Proven Process, this means that your website will be on a compliance workflow for that Broker Dealer. 

Once you submit content for review, your Broker Dealer’s designated Compliance Officer(s) will review the content and either approve it, or send it back to you with requested changes. You will receive an email notification when the content has been reviewed.

If the content has been approved, it will appear live on the website. If it requires changes, you will have to adjust the content and resubmit it before the Compliance Officer can review it again.

If you are an independent advisor or RIA, or if your Broker Dealer is not on our list of approved BD’s, your website will not be on a compliance workflow. Any updates made to a website without a compliance workflow will be published directly to the live website within 20-60 minutes.

How do I know if my content has been reviewed?

There is a Compliance Review* page in your website dashboard to show you the status of all content you have submitted to compliance. 

1. Log in to your website dashboard. 

2. Select My Content at the top of the left sidebar icons. 

3. From the menu that opens up, click Compliance Review at the bottom of the Content menu. 

Once you are on the Compliance Review page, you will see a Task List and Activity Feed.

Task List

  • Displays all pieces of content currently awaiting compliance review. 
  • If there is content in this list, it means that you re waiting on compliance to either approve or send it back
  • You do not need to do anything else about it at this time.
  • Once compliance reviews the content, you will receive an email notification.

Activity Feed 

  • A timeline of the compliance review process. 
  • includes your submissions, any comments you include, the approval or send back from the compliance officer, and any comments they include. 
  • The Compliance Review page is only applicable on our Force platform.

How long does it take for my content to be reviewed?

This depends on your Broker Dealer’s compliance department workload and also on how much content you have submitted. If you are submitting your entire website for the first time, you can expect this to take longer than if you are submitting updates to a few pieces of content. On average, compliance review takes 5-10 business days.

If the review process is taking longer than you expected, or you want to know where your content is in the review process, we recommend reaching out to your Compliance Department for any details. Our team only has access to the same information that you have regarding compliance review.