Marketing and Compliance
Posted by Steve Gibbs, CUCE, BSACS, AVP Shared Compliance, Credit Union Resources, Inc on 4/7/2017

The relationship between Marketing and Compliance has always been akin to “oil and water”.  What looks and sounds good in an ad layout sometimes doesn’t pass compliance standards.  In contrast, what falls within regulatory requirements doesn’t always “pop” or sell with the public. Let’s keep in mind that we’re all work toward the same goal in bettering our organization.  There are ways to overcome these obstacles and bring compliance and marketing together in a complementary relationship.  Here are some helpful suggestions:

Communication - Regular Meetings

Schedule times for periodic meetings between Compliance and Marketing.  Set an agenda to encompass upcoming ad and sales strategies.  Also, be prepared to discuss new or upcoming compliance issues related to marketing.


Numerous training opportunities are open to staff online and through seminars.  Many of these are available through CUNA, Cornerstone League and a variety of online resources. Industry periodicals can also be an excellent resource in scouting for potential training opportunities.

Review – Due Diligence

No advertising or marketing material should ever go out without proper oversight and controls.  Having a compliance person edit material can save untold dollars in reprints as well as protecting the credit union from potential liability. 

Build a Library

Saving ads and other materials can sometimes be beneficial in determining whether certain elements pass the compliance “test”.  Keeping files separated by certain compliance areas related to specific subject matter including deposits, lending, privacy, human resources, etc., can save time in cases where you are “re-hashing” strategies.

Join a Network

Sometimes groups of professionals will set up networks to share information.  Broaden your network to not only including marketing but compliance as well.

Remember that with cooperation, marketing and compliance can strengthen your credit union’s image through the high-level of material it sends out.  

Categories: Compliance, Marketing & Printing
Post a Comment
Email: (Email will not be published.)
Subscribe to the Blog

Categories & Archives
Category Filter

Author Filter




Connect: FacebookTwitter©  Credit Union Resources, Inc. All rights reserved.


Contact Us
6801 Parkwood Blvd.
Suite 300
Plano, Texas 75024
Phone: (469) 385-6400
Toll Free: (800) 442-5762
Online Form