Easily Manage Your Financial Advisor Website with AltaStreet’s Compliance Manager

One of the value-added features we include with every one of our financial advisor websites that sets us apart from other web design agencies is our proprietary Compliance Manager. 

It’s one of the main reasons we’re the preferred web design agency for many broker-dealers and registered investment advisors (RIA).

The AltaStreet Compliance Manager gives financial advisors the ability to make changes to any page and get it easily reviewed and approved by their compliance officer.

Let’s take a closer look at some of its important features.

1. 1. • View and edit all your pages from one location/platform
      • Simplified compliance approval process
      • Automatically highlights any changes or edits to existing pages
      • Unlimited number of users for each compliance department
      • PDF snapshots for every approved revision
      • PDF snapshot archiving and search
      • Automatically notify compliance staff by email
      • Weekly reminders for pending changes
      • Automatically send PDF snapshots with every change notification

How the Compliance Manager Works

Our Compliance Manager is integrated into the website content management workflow. Whenever you make any changes or updates to a page, it needs to be reviewed by your compliance department and receive approval before it can be published online. 

Whenever a writer or editor makes any changes to the website such as adding a new article or updating an existing page, he/she has 3 options:

1. Save the changes as a draft.
2. Save the changes and notify the compliance department for approval.
3. Save the changes and publish the page. 

NOTE: You should only use the third option to correct minor things like typos and formatting issues that don’t require a compliance review.

Normally, all new posts and content updates should be reviewed and approved by a compliance officer before publishing it online.

When you’re finished writing or editing a page, you just need to click a button to automatically notify the compliance department about the changes. 

A compliance officer can then log in to the Compliance Manager to see all the pages that are still pending review and approval.

Upon reviewing a page, the compliance officer has 3 options:

1. Approve and publish the page.
2. Reject the changes and automatically send an email back to the editor with feedback.
3. Approve the page after the next revision. 

Option 3 can be used if only minimal changes need to be made. The compliance officer can tell the editor what exactly needs changing so the editor can publish it as soon as the suggested revisions are made.

If you’d like to learn more about our Compliance Manager and how you can integrate it into your own financial advisor website, send us a message through the contact form below.