Brand Management and Compliance in the Finance Industry

For anyone that works in sales or marketing in the financial industry, you know how much of a challenge it is to create marketing materials. With ever-changing regulations and strict compliance rules, additional steps must be taken to ensure that rules are properly followed. In addition, sales and marketing channels are blending and becoming indistinguishable as technology evolves. Where boundaries were once clearly defined for both groups, consumer demands and expectations have changed, leaving them to figure out how to best respond.



We know the last thing a business wants to do is leave a prospect or customer unattended while internal processes are developed, which is why many companies are encountering brand compliance concerns. Fortunately, certain technologies have been developed to solve these issues. Brand management software has made it easier for both marketing and sales teams to maintain their message. It has become an effective way to not only automate processes and nurture prospect activities, it also helps to better define boundaries and roles within an organization.


Sales and Production vs. Marketing

We mentioned above the complications we are encountering as our lives become more and more digitally-focused. Producers and salespeople are communicating more directly and more instantaneously with both prospects and customers. Marketers are crafting more messaging for more channels and more targeted audiences.

As companies leverage new technology to scale faster, this shared responsibility is shifting. Salespeople are becoming marketers themselves and marketers are looking for ways to ensure the brand is maintained. So how do these groups work in harmony and meet the needs of consumers and compliance? Brand Management Software can help.


How Brand Management Software Drives Brand Compliance

The issue described in this post in not unique to the financial industry – it’s a challenge that many businesses across the board are seeing. Where the financial industry does have more incentive to reduce that risk is the area of brand compliance.


  1. Clear Approval Process - Steer clear of compliance issues like the ones mentioned above by only allowing marketing pieces that have been reviewed and approved to be used by sales teams. This ensures that your communications are up-to-date on compliance requirements and brand standards. Believe it or not, most producers don’t want to worry about creating marketing materials, they’d rather focus on selling. Making marketing materials readily available and allowing them to have their custom edits reviewed quickly takes that burden off of them.

  2. Centralized materials - It wasn’t long ago that storing collateral meant managing multiple folders and having to remember where to save what in the right place so the right person could find it. Some things might be saved on desktops (an entire issue in and of itself), some might be in Google Drive and others might live in a shared environment visible to only a few team members. Obviously, not ideal.

    Each of these three scenarios has limitations and cause a bottleneck in terms of accessibility, not to mention the consistency risk they create. With brand management software, materials are template-based and can easily be stored in one place. Now your field team (and whoever else needs it) can immediately see what types of materials are available and access them whenever they are needed.

  3. Customization - When sales and marketing teams are equipped with a brand management system – including a list of formal standards related to design and industry compliance – the rules become much easier to follow. In most other scenarios, a document might be sent out, but it cannot be guaranteed that the next person who joins the field team even sees it. Simply having visibility into why certain requirements exist drives a better understanding and can also mean better compliance across the board.

    It’s worthwhile to note that by making marketing templates available and allowing for a certain degree of customization, brand compliance and standards can be better managed. This also enables the field to target their local communities and relate to customers on a more personal level than corporate could.


Falling out of brand compliance can be a costly mistake. fortunately, brand management software was created to protect your most precious assets and keep your sales and marketing operations running smoothly.


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