Compliance Flow

Many of our Financial clients must get compliance approval on content from emails to social media posts. Levitate has a workflow for facilitating the compliance process. For all Financial customers, this workflow is a setting that is turned on by default. If you are your own compliance officer or do not need compliance approval prior to sending out campaigns, you can reach out to your Success Manager or Support to turn this feature off.

When Compliance is Required

You can now schedule a campaign to go out ahead of time, and it will be held in a pending state until you've worked with compliance to get it approved.

If you're able to send a PDF directly to your compliance officer via email (i.e. you do not submit to compliance via portal) you're able to enter an email address to send the PDF to directly, while scheduling the message itself.

First, you'll schedule a campaign as usual.

On the following screen, you can decide whether compliance approval is needed. 

Here, you'll choose to send it with our without compliance. If you're able to send the PDF directly by email to your compliance officer, you can enter their email address in the first box. When you add an email once, it'll auto-populate each time you send, but is able to be changed.

If compliance approval is not needed, click on "Send Campaign without Compliance". If compliance approval is needed, you can schedule it on the day you'd like for the campaign to go out -- but it will NOT send until you either mark it as approved, or if your compliance officer has responded with some form of approval (which can automatically be picked up by Levitate!)

Marking Campaign as Approved

If you're able to automatically send the campaign PDF to your compliance officer, they are able to reply back to the PDF sent through Levitate with 'Approved' language, and the email itself will automatically move out of its pending state into 'scheduled' and ready to send out.

If you're not able to send directly by email, i.e. you use a portal, you're able to manually go in and mark the campaign as approved, which will take it out of that pending state.

Working with your Success Manager

Your success manager can also queue up content for you the same way - they can suggest pieces in your Content Calendar, you may see multiple suggested campaigns that are pending your (and compliance approval). You can click on "Send me a copy" in the "Compliance Approval" box for each of the suggestions you see, get them approved, and come back to mark those as "approved" campaigns.

Social Media flow

You'll choose the Social tab in Campaigns and choose a post from the library, or create your own.

Before posting or scheduling, you'll see the spot to add your compliance email address and a button that will send the post over as a PDF to the designated email address.

For Cetera RIAs, social media content on Levitate is read-only— meaning that you cannot post social media content directly through Levitate. It must be submitted for review before use through the Cetera approved Social Media review protocols. For example, a Financial Professional can submit a Levitate Social Media design through the Social Media Supervision Tool (SMST) for pre-review. If you have further questions regarding Advertising Submission Review Protocols, please email advertisingreview@cetera.com!

Accounts of all kinds, even non-financial clients, are able to have the compliance workflow turned on— it can be used for saving campaigns as PDFs and getting admin approval before posting. Just reach out to your Success specialist or our Support team, and the update can be made.