What is a compliance workflow?
A compliance workflow is a moderated website option that allows your Broker Dealer to easily receive and review requests sent on the dashboard. If your website requires supervision, our team can work with your compliance department to create a shared dashboard, allowing them to approve content easily so it can go live immediately.
When you’ve submitted a piece of content through the dashboard or you’ve requested our Support team to submit the update on your behalf, the item will become locked in your dashboard and get sent right over to your compliance team. Please note Snappy Kraken has no hand in the review process, once an update is sent the update request will be marked as complete from our end.
Compliance turnaround times can differ depending on the size of the update, the size of your broker-dealer, or other external factors. For inquiries on how long a review will take, we’d recommend contacting your Compliance team directly.
If the content has been approved, it will appear live on the website immediately. 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 BDs, 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.
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
- No further action is required until the content has been moderated
- Once compliance reviews the content, the account owner will receive an approval/rejection notification
Activity Feed
- A timeline of the compliance review process.
- Includes all submissions - Approvals, Rejections and any comments/revision notes
- 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 3-10 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.