From Constraints to Growth: Overcoming Compliance Challenges in Marketing Financial Services - feat. Thayne Gould
About This Episode
Thayne Gould, Director at Vigilant, discusses the intersection of compliance, marketing, and AI in financial advisory. Learn how to navigate compliance while growing your business, establish marketing guardrails for social media, and understand AI's impact on compliance strategies and client communication.
Timestamps
00:00 - Introduction 00:38 - The impact of AI on compliance 02:03 - Thane's background and expertise 05:13 - The role of compliance in marketing 10:06 - Overcoming compliance challenges 15:13 - The SEC's focus on social media 20:44 - Strategies for effective communication 30:06 - The future of AI in compliance 36:19 - Final thoughts and takeaways
Show Notes
In this episode of the Advisors Edge Podcast, hosts Rob Jacomen and Chad Ramberg sit down with Thayne Gould, Director and Head of Marketing and Advertising Review Practice at Vigilant.
With over two decades of experience and a wealth of specialized expertise in the financial services industry, Thayne shares his insights on the intersection of compliance, marketing, and the evolving role of AI in the financial advisory space.
Join us as we explore:
✅ The challenges financial advisors face in navigating compliance while trying to grow their businesses.
✅ How AI is impacting compliance and marketing strategies within the financial services industry.
✅ The importance of establishing guardrails for marketing messages, especially in the age of social media.
✅ Practical strategies for advisors to effectively communicate with clients while adhering to regulatory requirements.
✅ The future of AI in compliance and the potential risks and rewards it brings to the industry.
Thayne emphasizes the need for collaboration between advisors, compliance teams, and marketing departments to create a successful and compliant marketing strategy. He also discusses the importance of transparency and ethical practices in building trust with clients.
Whether you're a financial advisor looking to enhance your marketing efforts or simply interested in the evolving landscape of compliance and technology, this episode is packed with valuable insights and actionable advice.
Don't forget to subscribe to the Advisors Edge Podcast for more episodes that help you navigate the complexities of the financial services industry!
Connect with Thayne Gould:
LinkedIn: https://www.linkedin.com/in/thayne-gould/
Vigilant: www.vigilant.com
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Rob Jacomen: https://www.linkedin.com/in/rob-jacomen/
Founder, Alchemy Content Lab & Nichebuilders
Chad Ramberg: https://www.linkedin.com/in/chad-ramberg-71278533/
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