This is the checklist your Chief Compliance Officer will want printed, highlighted, and stapled to every redesign request.
1. Color Contrast & Visual Clarity
WCAG requires sufficient contrast between text and background colors.
Minimums:
- Normal text: 4.5:1 contrast ratio
- Large text: 3:1
Why it matters:
Investors should never strain to read headers, disclosures, charts, or menu items.
Poor contrast is one of the top ADA lawsuits in all industries — and something generic designers consistently miss.
2. Font Size & Readability
WCAG recommends using scalable, accessible typography:
- Base body font: 16px or higher
- Line spacing: 1.5x preferred
- Avoid ultra-light fonts
- Ensure responsive scaling on mobile
High-net-worth and older clients rely on clarity.
This is why readability is foundational in our advisor website builds.
3. Alt Text for Images (Including Charts & Team Photos)
Every meaningful image must include descriptive alt text.
Correct:
“Advisor reviewing retirement plan projections with client.”
Incorrect:
“image123.jpg”
“decorative”
Why it matters:
- Screen readers rely on it
- Google relies on it
- Compliance teams need clear labeling (especially on performance-related visuals)
Alt text is also critical for articles like financial advisor marketing content, where graphics often support key concepts.
4. Keyboard Navigation
A compliant advisor website must function without a mouse.
A user should be able to navigate:
- menus
- forms
- buttons
- accordions
- disclosures
…using only Tab, Shift+Tab, and Enter.
If your navigation doesn’t work with keyboard input, it is not accessible — and that is a red flag for regulators.
5. Accessible Forms (The Most Common Failure Point)
Your contact forms must include:
- labeled fields
- error messaging
- focus indicators
- ARIA tags
- accessible submit buttons
If a mobility-impaired or visually impaired user can’t submit a form, your website fails ADA expectations.
And since forms tie directly to lead generation, advisors lose conversions too.
6. Captions, Transcripts & Accessible Video
All advisor videos should include:
- closed captions
- transcripts for long-form content
- audio descriptions when needed
This applies to:
- welcome videos
- process walkthroughs
- testimonial videos
- educational clips
If video plays a key role in your strategy (as outlined in video marketing for advisors), captioning is mandatory.
7. Consistent, Clear Disclosures
Disclosures must be:
- visible
- concise
- readable on mobile
- consistent across every page
- present on any page referencing credentials, fees, or testimonials
Under the SEC Marketing Rule, missing disclosures can trigger violations — especially on performance-adjacent content or testimonials. We break this down in more depth in our guide on financial advisor website compliance.
8. Website Archiving for Financial Advisors
Archiving is not optional — it’s a regulatory requirement.
Your website must maintain:
- timestamped versions of every page
- archived copies of all edits
- records of disclosures and ADV links
- testimonial content + metadata
- video transcripts and captions
This aligns with SEC Rule 204-2 and is directly tied to books-and-records obligations.
Under the Marketing Rule, every piece of digital content is considered “advertising,” which means it must be preserved.
9. Error Handling & Form Validation
Forms must explain errors clearly.
Good example:
“Please enter a valid email address.”
Bad example:
“Error.”
WCAG emphasizes clarity and user guidance — perfectly aligned with the UX principles covered in articles like how to improve user experience on advisor websites.
10. Mobile Accessibility
Over 60% of advisor website traffic is mobile.
Checklist:
- tap-friendly buttons
- no horizontal scrolling
- readable text without zoom
- consistent spacing
- mobile-accessible menus
- optimized disclosures
Mobile accessibility is now a ranking factor — and a compliance expectation.
How WCAG & ADA Connect to the SEC Marketing Rule
Advisors often misunderstand this part.
WCAG and ADA are not SEC rules.
But the SEC expects:
- clear communication
- fair representation
- equal access
- accurate disclosures
- compliant testimonials
All of these depend on accessible digital experiences.
The SEC has already cited accessibility in marketing-related deficiency letters, especially around:
- testimonial visibility
- disclosure readability
- performance interpretations
- misleading layouts
- inaccessible mobile experiences
WCAG compliance supports SEC compliance.
Ignoring accessibility creates regulatory risk.
Why Accessible Advisor Websites Convert Better
Accessibility isn’t just a legal shield — it’s a performance advantage.
Accessible sites have:
- better readability
- clearer navigation
- longer time on page
- higher conversions
- stronger trust formation
These improvements align directly with the UX lessons reinforced in why top advisor websites convert better.
When your website feels intuitive and easy to use, clients instantly perceive your firm as more trustworthy and professional.
Want a Website That Looks Great and Keeps Your CCO Sleeping at Night?
A compliance-ready advisor site is not just about code. It’s about understanding:
- WCAG 2.1 AA
- ADA liability
- SEC marketing rule requirements
- RIA recordkeeping
- Disclosure placement
- Testimonial regulations
- Accessibility UX
- Advisor-specific workflows
This is where advisory firms consistently tell us we are different.
It’s built into every project we deliver.
If you want a website that is beautiful, fast, accessible, and regulator-safe, explore our services or browse our website portfolio.
Or reach out through Contact Us and tell us what compliance requirements matter most to your team.
Modern advisors don’t just need strong branding — they need a website built on accessibility, regulatory clarity, and trust.
We can help you build exactly that.