AI, Compliance, and the New Rules of Advisor Marketing with Jared Margolies (Ep. 124)
AI can help financial advisors create content and work more efficiently, but what happens when client data, advertising rules, and compliance enter the picture?
In this episode, Jeremy Houser speaks with Jared Margolies, Director of Compliance at Simplicity Group Holdings, about AI, cybersecurity, advertising, and advisor marketing. Jared explains what advisors should consider before sharing data with AI tools, how compliance teams can support content creation, and where testimonials, online reviews, performance claims, and social media can create regulatory concerns.
Jared discusses:
- How AI tools can create privacy concerns when advisors upload client information without reviewing data policies
- Why free AI tools and note takers deserve additional scrutiny before they’re used with client information
- How advisors can use AI as an initial content check while still relying on formal compliance review
- Why testimonials, online reviews, and performance claims require careful disclosures and supporting context
- How a regular content calendar and pre-reviewed materials can reduce friction between marketing and compliance
- And more!
Connect with Jared Margolies:
Connect with Jeremy Houser:
- jeremy.houser@simplicitygroup.com
- 713-808-8548
- Schedule a Call
- Our Teams Website
- Connect with Jeremy
- @jeremyhouser_amp
- @jeremyhouserAMP
About Our Guest:
Jared Margolies is Director of Compliance at Simplicity Group Holdings, where he has been part of the organization since 2019. Throughout his time with Simplicity, he has served in several compliance leadership roles, including Chief Compliance Officer for Simplicity Financial Investment Services, Simplicity Wealth, Simplicity Solutions, and RetireOne. Jared has also helped develop advertising workflows, cybersecurity processes, and technology initiatives across the organization. Before joining Simplicity, he worked with AXA Equitable, now Equitable, where he gained experience in front-facing supervision and retail sales oversight. Today, his work includes helping advisors address compliance considerations related to advertising, AI, cybersecurity, client communications, and emerging technology.
Disclosure #: 5928357 – 1026
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