Staying Compliant
Keeping approved communication standards with clients
A scenario-based eLearning helps fintech advisors communicate with clients while keeping to FINRA standards.
Audience: Fintech Advisors
Responsibilities: Instructional design, action mapping, storyboarding, scenario writing, visual design, prototyping and iteration, authoring and developing in Storyline
Tools & Software: Articulate Storyline 360, Figma, Adobe Illustrator, Google Docs, ChatGPT, Freepik
Problem
Advisors at Finlanthropy, a fictitious company, were not consistently adhering to FINRA standards in their client communications.
Using unapproved tools, sending mass communications without approval, or posting public recommendations created compliance risks that exposed the firm to fines and damaged client trust.
Solution
I recommended a scenario-based eLearning experience to address these challenges.
This approach allows advisors to:
Practice realistic conversations in a safe environment
Experience the consequences of poor choices
Build confidence using approved methods.
Unlike traditional compliance training, this ensures greater engagement and stronger behavior change across remote teams and multiple offices.
Overview
I used the ADDIE model as a guiding framework and collaborated with a subject matter expert to ensure realistic and high-impact scenarios.
Identified the key compliance risks and mapped them to specific learner behaviors.
Developed engaging scenarios with choices and realistic consequences.
Created polished templates in Illustrator and Figma for a consistent look and feel.
Built a functional prototype in Storyline to test usability and flow.
Integrated feedback, refined triggers and states, and finalized the experience.
Action Map
Working with a brokerage communications specialist as my SME, I identified the main business goal: reduce compliance violations from advisors according to FINRA standards.
The training focused on four key behaviors:
Identifying approved communication channels
Redirecting clients who reach out on unapproved channels
Avoiding recommendations in general posts
Getting prior approval for communications sent to more than 25 people
Text-Based Storyboard
I drafted branching scenarios aligned to the action map, giving advisors a chance to practice realistic situations in a low-risk environment and see the consequences of poor choices before being redirected to try again.
To keep the training engaging, I wrote in a conversational tone and added a mentor character who could provide optional tips, aligning with Mayer’s redundancy and embodiment principles. This supports learner agency and helps prevent frustration if learners get stuck.
Adding a mentor character gave learners support when they needed it without breaking the flow.
Visual Mockups
I finalized a style guide for colors and fonts, then adjusted vector graphics in Adobe Illustrator to match the theme.
Creating mockups in Figma allowed me to quickly test visual ideas and apply feedback without reworking multiple slides.
To increase immersion, I emulated real communication platforms advisors use, including Slack, LinkedIn, email, iMessage, and WhatsApp. This made the training more relatable while reinforcing approved vs. unapproved tools.
Initial vectors designed by pikisuperstar / Freepik
Style Guide
Question slide mockups in Figma - From template to final version with mentor button, hover state, and customized background.
Slack Layout
LinkedIn Layout
WhatsApp Layout
Interactive Prototype
I built an interactive prototype in Articulate Storyline that included the introduction and the first two scenarios with prompts, answer choices, mentor tips, and consequence slides.
I tested the prototype with colleagues, including a UX designer, to evaluate flow and pacing. Their feedback helped me fine-tune message timing so conversations felt realistic without slowing learners down.
Testing triggers, layers, and timeline to refine pacing and immersion.
Slide Masters kept the design clean and scalable.
Full Development
In the full build, I:
Added subtle sound effects to highlight key interactions (like error pop-ups)
Conducted thorough quality checks to ensure triggers, states, and variables worked smoothly
Used Slide masters to keep UI elements consistent across slides and avoid clutter in the timeline
Results and Takeaways
If implemented, this training would be evaluated using the Kirkpatrick model.
Because I started with the end in mind, tracking results would be straightforward: measure compliance violations before and after the training to see if the targeted 20% decrease was achieved.
Success would mean:
Fewer fines
Stronger client trust
Increased credibility for the firm
“Reducing fines means stronger trust with clients and higher credibility for the firm.”
My takeaways as a designer:
Action mapping kept the focus on specific advisor behaviors, making scenarios more realistic and transferable to other regulated industries
Prototyping early gave me freedom to iterate on multiple UI designs efficiently
Small design choices (sound effects, mentor tips, realistic UIs) add up to a more engaging, memorable learner experience
This project highlights how thoughtful instructional design turns compliance from a box-checking exercise into an engaging, behavior-changing experience.