Social Media Compliance
Simplify Oversight of Your Social Media Presence
Social media is a vital tool for brokers and advisors to connect with clients and prospects. However, regulatory bodies such as FINRA and the SEC require firms to monitor, review, and archive both dynamic (posts, shares) and static (profiles) content. Non-compliance inevitably results in significant penalties and - combined with the enormous amount of time, resources, and work required to stay compliant with all social media regulations - creates a need for an efficient solution to manage these demands and protect your business.
24/7 Support
<1 Hour Average Help
Ticket Resolution
>99.9% Uptime
Continuous Enhancements with Zero Downtime
Why Choose Red Oak for you Social Media Compliance?
Regulatory Confidence
Maintain adherence to FINRA and SEC regulations with real-time monitoring and archiving.
Streamlined Workflows
Simplify the review process with pre and post-review capabilities, ensuring all content is compliant before it goes live.
Custom Configurations
Adapt workflows, lexicons, and policies to meet your firm’s specific needs
Time Savings
Automate repetitive tasks, allowing your team to focus on more strategic initiatives.
Audit-Ready
Access archived content instantly to respond quickly to regulatory audits and inquiries.
Trusted by 1800+
Firms Globally
Partner to Over Half of
the Top 20 Asset Managers
84 NPS Score—Setting the Standard
for Client Satisfaction
How it Works
Social Media Compliance is delivered through two distinct user environments, ensuring an intuitive experience for all stakeholders:
1. User Console
Account Registration: Enables registered representatives to link their social media accounts securely.
Content Submission: Submit posts for pre-approval to ensure compliance before they go live.
Content Library: Access a repository of pre-approved content to simplify content creation and sharing
2. Admin Console
Policy Management: Define and enforce firm-specific social media policies.
Workflow Oversight: Configure pre and post-review workflows to align with internal processes.
Lexicons and Alerts: Automate the identification of high-risk content with customizable lexicons and real-time alerts.
- Archival Access: Easily retrieve and review all archived content for audits or internal reviews.
Who Uses Social Media Compliance?
Compliance Officers:
Social Media Compliance ensures that your firm stays aligned with regulatory requirements by streamlining supervision and recordkeeping processes.
- Comprehensive archiving of all social media activity.
- Configurable workflows tailored to firm-specific policies.
Marketing Teams:
Enable marketing teams to operate freely while ensuring regulatory oversight.
- Pre-approval workflows for faster campaign launches.
- Access to a centralized content library for consistency and compliance.
Start Strengthening Your Social Media Presence Today
Social Media Compliance helps you manage, monitor, and archive social media communications effortlessly while ensuring regulatory adherence. With RedOak you can rest assured that you’re always getting:
Compliance-First Approach: Designed specifically to meet the needs of financial firms with robust policies and procedures.
Custom Configurations: Offers unparalleled customization for workflows, lexicons, and alerts, ensuring the solution fits your unique needs.
Trusted by Leading Firms: With over a decade of client loyalty, our platform stands out in a space where competitors
- Superior Customer Service: Unlike most of our competitors, we provide transparent pricing and unmatched client support.
Our Industry-Leading Reputation
