Social Media Compliance
Software
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 could result 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 time-tested workflows that provide pre-review capabilities as well as a sophisticated and configurable process for identifying and escalating existing social media content.
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:
User Console:
A dedicated portal for registered representatives to register social media accounts, submit content for pre-approval, and access a library of compliant, pre-approved content
Admin Console:
A powerful backend system for compliance teams to manage policies, configure workflows, monitor social media activity, and access archived communications
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 Red Oak 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 many competitive platforms often struggle to retain the confidence of their users.
- Superior Customer Service: Unlike most of our competitors, we provide transparent pricing and unmatched client support.
Our Industry-Leading Reputation
