JFM Consulting - Financial Planning Compliance & Audit Services Revenue

About JFM Consulting - Financial Planning Compliance & Audit Services

Jodie has been closely working with AFSLs and Self-Licensed Advisers for the last 2.5 years. During this time she has aligned her processes to the Corporations Act and ASIC's regulations and the Code of Ethics. JFM Consulting provides the following: 1. Auditing, Monitoring, and Supervision Function - providing comprehensive reporting and outcomes on what you need to do to meet the requirements, what you must continue doing to meet requirements, and guidance on what you can stop doing and retain a compliant file. 2. Pre-vet service, working 1:1 with the adviser on outcomes of the file. Where required, also involving Paraplanning and Support Staff. 3. Day to Day guidance on unusual client situations, or just assistance on the compliance requirements. 4. Coaching and Training to upskill Advisers, Paraplanning, and/or Support Staff. 5. Guidance on SOA documents, ROAs, ROA File Notes, Small Investor ROAs, Time Critical, and Wholesale Investors. 6. Remediation Action Planning, Data Analysis, Reporting, and Investigations. 7. JFM Consulting can provide a package to align with your compliance needs. Jodie is also well known for her extensive career of over 30 years in Banking and Financial Planning with ANZ Bank and working with the wider market of RI, FSP, Millennium 3 & Elders. . Jodie's accreditations include Diploma and Advanced Diploma in Financial Planning and is RG146 compliant. She is also accredited in Margin Lending and SMSFs. Jodie has also completed her Certificate in Financial Planning. If you are looking for a business that understands the regulatory requirements, is personable, and has fresh eyes and an unbiased view. Please do not hesitate to contact Jodie McInnes on 0408 828 931

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