Compliance Reporting

Compliance Reporting for Financial Services

Transform your financial services compliance reporting with custom automation built by Harvard-educated experts. Measurable outcomes in 4-8 weeks, backed by 98% client retention.

2 weeks

First prototype

98%

Client retention

50+

Businesses served

150+

Integrations

Book Free Assessment All Financial Services Solutions

Expected Outcomes

Measurable results our financial services clients achieve with compliance reporting.

90% time saved

FDS generation

Fee Disclosure Statements that required manual compilation for each client are now generated automatically from advice platform data.

Same-day lodgement

Breach reporting

Reportable situations are identified, documented, and reported to ASIC within regulatory timeframes through automated workflows.

60% faster

File audit completion

Client file audits are pre-populated with data from advice platforms, allowing compliance officers to focus on quality assessment rather than data gathering.

The Challenge

Common compliance reporting challenges facing financial services businesses.

Fee Disclosure Statements manually compiled for hundreds of clients each year with high error risk

AFSL breach register and reportable situations tracking managed through informal processes

Client file audits consuming weeks of compliance officer time due to manual data gathering

Adviser CPD tracking and FASEA education standard compliance monitored inconsistently across the practice

Implementation

How we implement compliance reporting for your financial services business.

Connect Advice and Compliance Platforms

We integrate your financial planning software like XPLAN or Midwinter with ASIC reporting systems, AFSL compliance tracking, and client file audit databases.

✓ Tools: XPLAN, Midwinter, Make, Airtable

Generate ASIC and AFSL Compliance Reports

The system produces Fee Disclosure Statements, client file audit reports, breach register summaries, complaints handling reports, and AFSL annual compliance returns.

✓ Tools: Make, Google Docs, PDF Generator

Track Regulatory Obligations and Deadlines

FDS delivery deadlines, opt-in notice periods, breach reporting windows, AFSL annual statement dates, and CPD requirements for all advisers are tracked with automated escalation.

✓ Tools: Google Calendar, Slack, Make

Maintain ASIC Audit-Ready Records

Statement of Advice records, client consent documentation, fee arrangement evidence, and compliance monitoring outcomes are stored with full traceability for ASIC surveillance reviews.

✓ Tools: Google Drive, Airtable, Make

Why Choose Clever Ops

What makes our compliance reporting solution different.

Fee Disclosure Automation

FDS and opt-in notices are generated automatically from client fee data, formatted to ASIC requirements, and tracked through to delivery confirmation.

Breach and Complaints Management

The breach register, reportable situations workflow, and complaints handling process are systematised with automated ASIC reporting within regulatory timeframes.

Client File Audit Streamlining

Compliance audits of client files are pre-populated from XPLAN or Midwinter data, with automated checklists aligned to licensee and ASIC requirements.

Adviser Compliance Monitoring

CPD hours, education standard compliance, authorised representative status, and supervision requirements are tracked centrally for every adviser in the practice.

Financial Services Compliance

Built with ASIC regulatory requirements, AML/CTF compliance, and AFSL obligations in mind. Includes audit trails meeting APRA prudential standards.

Frequently Asked Questions

We follow a phased approach: discovery in week one, a working compliance reporting prototype by 2 weeks, and full implementation within 4-8 weeks. Your team tests each phase before we move forward.

Every compliance reporting solution is scoped individually for financial services businesses. We price based on complexity and integration count, then show you projected savings so you can evaluate ROI before committing. Book a free assessment to get a specific quote.

Our compliance reporting solution for financial services integrates with Make, Google Drive, Airtable, plus over 150+ other platforms. We build custom connectors for any specialist software your business relies on.

Every compliance reporting solution includes 3 months of post-launch support covering bug fixes, performance tuning, and team training. Our 98% client retention rate reflects the reliability and ongoing support our clients receive.

Not at all. We design the compliance reporting solution to slot into your current workflow seamlessly. Your team keeps working the way they know, and it just gets faster and more reliable.