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Est. deploy 4–6 weeksSee the walkthrough
Marketing & Reputation · Financial Services
Clear educational content before it goes live.
Marketing edits bypass the compliance review trail.
For: Compliance officers and the team responsible for marketing & reputation in financial services.
01 · The outcome
What good looks like.
The team has a versioned content review packet with compliance sign-off, with source evidence and an explicit approval before any external action. Track published materials with complete approval records against a baseline; do not assume automation improves it.
A connected workflow that uses draft text, source claims, and applicable firm advertising policies to flag performance claims, missing disclosures, and unsupported statements. It produces a versioned content review packet with compliance sign-off.
Where AI helps, and where a person decides.
AI can flag performance claims, missing disclosures, and unsupported statements. It drafts and organizes; it does not authorize spending, commitments, clinical decisions or customer communication. The compliance officer verifies the source facts and approves the final action.
Compliance officer is accountable. People approve customer-facing, sensitive, financial, and legally binding actions.
- Compliance officer: Capture the source and scope
- Compliance officer: Review the proposed outcome
- Compliance officer: Release only the approved version
- Compliance officer: Check the result and exceptions
A named person approves customer-facing messages, spending, record changes and binding commitments before release. Pre-approved scripts are versioned; exceptions stop for review.
02 · The handoffs
How the work moves.
Every handoff has an owner. Select a step to open or close its detail.
Start when: A newsletter draft is submitted. Connect only draft text, source claims, and applicable firm advertising policies. The compliance officer confirms the request is authorized and in scope.
Ready when: The source reference, permissions and accountable owner are recorded.
Use the authorized records to flag performance claims, missing disclosures, and unsupported statements. Preserve the original language alongside the draft and label uncertain fields.
Ready when: Each proposed fact links back to a source, and missing information is visible.
Check a versioned content review packet with compliance sign-off against the original records and current policy. Correct errors and escalate exceptions to the qualified specialist; do not auto-approve.
Ready when: Compliance officer has recorded approval or a reason to hold the item.
After explicit approval, save a versioned content review packet with compliance sign-off in the system of record. Send only approved messages to verified recipients. Record the version and prevent duplicate delivery.
Ready when: The approved record is saved; any delivery is confirmed or placed in the retry queue.
Review published materials with complete approval records each week, sample completed records for quality, and resolve held items. Change the rules only after reviewing actual errors and staff feedback.
Ready when: Exceptions have owners, the metric has a baseline, and corrective actions are assigned.
Sample record.
$ david run --workflow=finance-content-clearance
ILLUSTRATIVE RECORD / NOT LIVE CUSTOMER DATA
- Example
- Illustrative only — not a real client record
- Reference
- FINANCE-CONTENT-CLEARANC-DEMO-001
- Trigger
- A newsletter draft is submitted.
- Owner
- Compliance officer
- Prepared output
- a versioned content review packet with compliance sign-off
- Review status
- Awaiting human approval — no external action taken
- Missing information
- Owner to verify source completeness
- Measure
- Published materials with complete approval records
Start with your tools.
Connect Salesforce, Microsoft 365, Compliance archive through approved APIs or controlled exports. Map record identifiers first; test permissions and field updates in a sandbox. Vendor names describe possible connections, not a guarantee of an available integration or license.
When things go wrong.
- A named person approves customer-facing messages, spending, record changes and binding commitments before release. Pre-approved scripts are versioned; exceptions stop for review.
- Use only authorized sources and role-based access. Keep an audit trail of source records, drafts, approvals and delivery status; deduplicate retries.
- If an integration fails, a source is missing or confidence is low, pause the action and assign the original request to the accountable owner.
- For financial or insurance work, a properly licensed professional approves recommendations, coverage, suitability and binding actions. Apply the firm's supervision, retention and advertising rules.
Try this week / no DAVID required
A useful first step.
This week, have your compliance officer time five examples of this work. Use redacted copies of draft text, source claims, and applicable firm advertising policies to make a versioned content review packet with compliance sign-off manually, then list which fields required judgment.
What to measure.
- Published materials with complete approval records
- Minutes of human handling per completed item
- Drafts needing substantive correction
- Exceptions unresolved beyond the agreed review window
Estimate your time back.
20.8
$11,232
03 · More workflows to consider
Related workflows.
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