Financial Promotions
Audit Engine
Redesigning the compliance journey to handle a 196% surge in volume while maintaining 100% audit traceability.
The Volume Crisis
In January 2026, the system processed 1,374 promotion uploadsDiscovery revealed a critical bottleneck: 36.4% of this volume consisted of redundant duplicates caused by an inefficient feedback loop. Reviewers were frequently "starting from scratch" on every re-submission due to a lack of visible history.
Designing for Triage
The current table was described as "too complicated" and "bonkers"I proposed a Split-Table Architecture to isolate active work from historical records. By removing redundant columns like "AI Form" and "Consultant Name" from the main grid, we reclaimed horizontal space to fix existing zoom bugs.
Discovery Volume
1,374 Items/Mo
Redundancy Fix
36% Duplicate Drop
Efficiency
+196% Load Capacity
BDO 2026 Compliance & AI
Conditional AI Transparency
New regulatory rules required explicit tracking of AI-generated content. I designed a conditional flow for the upload process:
- → Conditional Logic: If an image is detected, the system triggers mandatory AI usage and location questions.
- → High-Risk Automation: A toggle for social media or high-risk products that sets a hard 3-month expiry date.
The "Paper Trail"
One of the primary requirements was the ability to "download the checklist" for internal audits. This ensures that even after a promotion moves to the Approved Library, a permanent, downloadable record exists for both the advisor and compliance teams.
