Seven questions that reveal whether your financial services marketing compliance is actually working.

In financial services marketing, the difference between a team that manages compliance well and one that doesn't is almost always process — not intent. These seven diagnostic questions are the ones marketing operations consultants ask when they need to understand where a compliance framework is failing and what needs to change.

• How much of your week is consumed by compliance management rather than marketing strategy?
• Can you produce a complete approval audit trail for any asset within 24 hours?
• How confident are you that no unapproved asset has reached market in the last six months?
• What happens when a key approver is unavailable — does the workflow pause or proceed?
• How do you apply regulatory changes to assets already in production?
• When did you last formally review the effectiveness of your marketing compliance framework?

Download the Seven Questions Guide