[Checklist] Social Media Compliance for Financial Institutions
Social media is a powerful way to build trust with customers or members—but in a highly regulated industry like financial services, staying compliant can feel like a moving target. From disclosure requirements to recordkeeping rules, navigating compliance demands both vigilance and the right processes.
This social media compliance checklist outlines the key steps and best practices to help your team reduce risk while staying connected online. Whether you’re reviewing your disclosure obligations or tightening approval workflows, this resource helps you market, educate and engage with confidence and control.
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Use this checklist to:
Use this checklist to:
Align with stakeholders
Establish a shared understanding of compliance responsibilities across social, legal, marketing and risk teams. This checklist helps you ignite the right conversations and build buy-in around scalable, low-friction workflows.
Track existing documentation
Keep tabs on the policies, processes and resources that support your social media compliance program. Use the included worksheet to log key documents, owner and review dates—all in one place.
Assess your current approach
Review how your team handles disclosures, approvals, monitoring and more. Identify areas where your workflows could be tightened, clarified or updated to better support compliance efforts.
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