Recap
At the July 23rd FCS virtual event titled “Coloring Inside the Lines: Marketing Boldly While Remaining Compliant,” executives from Bank of America, Invesco, Jennison Associates, and Integreon shared how marketing and compliance can be collaborative allies—not adversaries. Here’s what we learned:
- Bring Compliance in Early—and Often
Tip: Involve compliance as soon as campaign ideation begins—not after design is finalized.
Mari Lee, SVP, Marketing of Bank of America said it best: “My secret sauce is to involve compliance early, often, and all throughout.” Getting input from compliance during the planning phase helps surface potential roadblocks early and creates time for creative workarounds, reducing last-minute rewrites and delays.
- Build a Collaborative Relationship
Tip: View compliance as a strategic partner, not a gatekeeper.
Compliance shouldn’t be the “department of no,” said Keye Chang, Sr. Compliance Officer, Invesco. Instead, he encourages marketing teams to think of compliance as their co-pilot, helping them get creative ideas over the line. “The best outcomes happen when we understand the destination and work together on how to get there—without regulatory trouble.
- Communicate Constantly and Transparently
Tip: Set up regular check-ins, share editorial calendars, and create shared visibility into review queues.
Katherine Boylan, SVP, Director of Integrated Marketing, Jennison Associates emphasized the value of transparency and routine. Her team uses shared tools like the compliance software, Red Oak, to track content reviews and timelines. They also maintain live editorial calendars and documentation around compliance guidelines to keep everyone aligned.
Chang and his colleagues publish and share a regular newsletter on financial services regulations that Invesco marketers should keep in mind when creating campaigns
- Use Technology to Streamline Workflows
Tip: Invest in approval and workflow tools that bring visibility and efficiency to marketing-compliance processes.
Whether it’s Red Oak, a MAP (Marketing Approval Portal), or another system, having a platform that connects marketing, legal, and compliance teams can dramatically improve speed and accuracy. Boylan also uses templated content for quarterly materials, reducing repetitive work and freeing up time for innovation
- Be Bold—With Guardrails
Tip: Bold marketing is possible when paired with thoughtful compliance collaboration.
Lee recommends looking outside the financial services category for inspiration for new marketing ideas. She also gave an example of how she pushed the envelope this year by creating dynamic data chart visualizations for one of her bank’s thought leadership content offerings. Her approach to getting compliance on board with something new? Start conversations even earlier than you think you should, show strawman mockups early, include legal, compliance, and registered principal experts and collaborate with them often and all throughout your planning process
- Embrace “Creative Compliance”
Tip: Encourage compliance teams to offer alternatives instead of blanket rejections.
Chang likened compliance to helping marketing color inside the lines—with the right tools. Instead of saying “no,” his team often suggests, “Try this instead.” In some cases, they’re even applying creativity to compliance communications by producing TikTok-style training videos to demystify regulatory concepts for internal teams in fun, digestible ways
- Look Ahead: AI and Regulatory Trends
Tip: Prepare now for evolving regulations—especially around performance marketing and artificial intelligence.
Panelists agreed: AI is both an opportunity and a risk. From speeding up internal workflows to creating images and content, tools like Norm AI are under exploration. But all agreed: AI must be used responsibly, with governance frameworks, transparency, and human oversight at every step
Final Thought: Creativity and Compliance Aren’t Mutually Exclusive
The most successful marketing teams don’t fight compliance—they invite them in as early allies. As Chang reminded us (with a nod to Finding Nemo), “Compliance is not food. We’re friends.”
By fostering mutual respect, aligning goals, and planning ahead, marketing professionals can boldly break through the noise—while still coloring inside the lines.
reported by event moderator Catherine Ostheimer, VP, Marketing, Integreon
On Wednesday, July 23, the FCS will again partner with Integreon to present a free virtual event on another pressing challenge for financial marketers: how to deliver bold, engaging campaigns while staying firmly within regulatory boundaries.
With the theme, “Coloring Inside the Lines: Marketing Boldly While Remaining Compliant,” this dynamic panel discussion will bring together senior leaders from both marketing and compliance at top financial institutions to share real-world strategies, success stories, and lessons learned.
The conversation will be led by:
- Mari Lee, SVP – Data, Digital Global Marketing, Bank of America
- Katherine Boylan, SVP, Director of Integrated Marketing, Jennison Associates
- Keye Chang, Senior Compliance Officer, Invesco
- Catherine Ostheimer, Vice President of Marketing, Integreon
Join us to discover how cross-functional collaboration, smart processes, and the right tools can unlock creativity, without compromising compliance boundaries. Whether you’re a marketing executive, compliance officer, or communications strategist, this session will offer actionable insights to help you navigate the evolving landscape of financial marketing with confidence and creativity.
In gratitude to our panelists, the FCS will donate $1,000 to a children’s charity of their choice: The Valerie Fund, whose mission is to provide support for the comprehensive health care of children with cancer and blood disorders.
FREE REGISTRATION
